State of Arizona Project S.L.I.M. report on the Department of Youth Treatment & Rehabilitation

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STATE OF ARIZONA
PROJECT S. LI. M. REPORT ON THE
DEPARTMENT of YOUTH TREATMENT & REHABIUTATION
JlJy 2, 1992
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DEPARTMENT OF YOUTH TREATMENT & ReIABIUTATlON
PRO. ECfSUM
TABLE OF CONTENTS
EXEClJTIVE SlJMMARY ..................................................••....... 1
RECOMMENDATIONS
Central OffIce Payroll 27
Combine Central OffIce Accounting Functions .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
Chaplin Services 34
Institution Business OffIce Accounting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
Institution Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
Alamo Mental Health Facility 51
Central OffIce Procurement & Field Procurement . . . . . . . . . . . . . . . . . 55
JwenUe Record Maintenance ...•.........•...•............................. 61
Departmental Budget Responsiblity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Performance Reporting '.' . . . . . . . . . . . • . . . . . . . . . . . . . . . . • . . . . . . . . • . . . . . . . . 71
Develop MIS Strategic Plan 74
DEPARTMENT OF YOUTH TREATMENT & REHABlUTATION
PRO. ECTSUM
TABU: OF CONTENTS
( ContInued)
EXHIBITS
1 IntervieIN Ust 15
2 DYTR Summary of Savings 17
3 Central OffIce Business/ Finance Administration,
Present Organizational Structure 18
4 Central Office Business/ Finance Administration,
Proposed Organizational Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
5 Chaplain Services, Present Organizational Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
6 Chaplain Services, Proposed Organizational Structure 21
7 Adobe Mountain/ Black Canyon Business OffIce,
Present Organizational Structure 22
8 Adobe Mountain/ Black Canyon Business Office,
Proposed Organizational Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
9 JuvenUe Record Maintenance, Present Organizational Structure 24
10 JuvenUe Record Maintenance, Proposed Organizational Structure 25
11 Implementation Schedule 26
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July 2, 1992
Mr. John R. Arredondo
Director
Department of Youth Treatment & Rehablltatlon
1624 West Adams
Phoenix, Arizona 85007
Dear Mr. Arredondo:
The Governor's Project SUM review of your agency has been completed and we are pleased to
present you with this summary of our findings and recommendations. The study was Initiated on February
24, 1992 and the field work was completed approximately April 6, 1992.
This summary restates the objectives of the review, the approach which was used and highlights
the major changes recommended as a result of the study. It quantifies the potential benefits for your agency
and summarizes the key Implementation steps needed to convert the potential savings into actual benefits.
The summary is followed by the detaUed findings and recommendations.
In total, the recommendations identify approximately $ 1.5 mUlion In benefits for your agency.
OBJECTIVES AND GOALS
The overall objective of this study was to identify those areas within the Department of Youth
Treatment & Rehabilitation where services could be Improved and savings could be generated by eliminating
duplication of activities, Inefficient use of resources and other wasteful practices. The goal was to identify
the costs associated with the waste and inefficiencies so that the limited resources of the Department could
be allocated more appropriately In order to enable the Agency to more effectively meet the objectives of Its
mission and Its responsibUlties to the people, and especially the youth. of Arizona.
We reviewed the shelf data from the Department to understand Its mission, responsibilities and
workloads. Interviews were conducted with all levels of supervision and selected technical and clerical
Mr. John R. Arredondo, Director
Department of Youth Treatment & RehabUltation
Page 2
positions. We observed work actMtles and computer system use and obtained estimated work volumes and
standards for the processes which were reviewed. We also discussed procedural findings with department
and bureau managers and supervisors.
exhibit 1 lists the 78 individuals we contacted during the course of the review. Many of these
Individuals were contacted more than once to confirm our understanding of their areas of responsibUIty and
to discuss the feasibility of proposed process changes. Because of their cooperation and participation, we
have a high level of confidence that these recommendations can be successfully Implemented.
During the course of this review, we focused our efforts on those administrative and support areas
that are responsible for the day- to- ctay business, administrative, maintenance, finance and procurement
functions at the Central Office and the institutions. These areas, for the most part, do not have a ii'. ater. aJ
Impact on the Program or Treatment areas of the Agency. We are aware that you are In the process of
Implementing extensive changes to various facets of the organization and are contemplating further changes
In the near future, especially those areas of the Agency that plan, Implement and administer the Programs
and Treatments received by the youth within your Institutions. As a result, we did not focus a great deal of
attention on the Program areas of the Agency.
SUMMARY ANDINGS AND RECOMMENDATIONS
The Department of Youth Treatment and RehabUltation can realize a variety of benefits by
implementing the recommendations developed during the course of this review. The most significant benefits
Include Improved employee performance, better facUlty maintenance, more visJbBIty of dollars allocated to
and spent by each department and a comprehensive Agency- wide MIS strategic plan. There are also dollar
savings of $ 1,220,210 annually that result from reducing the Department's staff by 42.5 FTEs, as well as
$ 148,638 of savings from other sources. The total dollar value of all savings that can accrue to the
Department by implementing the recommendations detaHed in this report amount to $ 1,512,591.
The following paragraphs provide a brief sumrnary4evel synopsis of the recommendations for each
of the areas reviewed. The more detaUed recommendations along with the supporting detaUed backup
Information follow within the body of this report.
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Mr. John R. Arredondo, Director
Department of Youth Treatment & RehabUltatlon
Page 3
CENTRAL 0FF1CE RECOMMENDATIONS
Centra! OffIce Payroll
We recommend that the payroll data Input responsIbHltles being handled by the Administrative
Assistant In the Youth Services Bureau be transferred back to the Payroll Department where all of the other
Central Office payroll data Is currently being processed.
Data gathered during the course of the review also Indicates that there Is not currently enough
workload to justify staffing the Payroll Department with two Payroll Clerks. We recommend that one of the
two Payroll Clerk positions be eliminated.
Central OffIce Accounting Functions
The Accounts Payable functions are currently divided among three Accounting Technician positions,
although our Interviews and observations In this area Indicate that there Is only enough work volume for one
Individual. We recommend that the Accounts Payable responsibUlties be consolidated Into one position and
the other Accounting Technician positions be eliminated.
Eliminating these positions wUl result In an annual savings of $ 44,104.
INSTITUTIONAL RECOMMENDATlONS
Chaplain Services
We recommend that the ArIzona Department of Youth Treatment & RehabUltatlon reduce Its reliance
on paid Chaplains and arrange to receive the bulk of their spiritual services from the many religious
volunteers that are currently on the roles of the Department. We recommend reducing the clergy staff from
the current level of five chaplains to one Senior Chaplain who should serve as the coordinator and manager
Mr. John R. Arredondo, Director
Department of Youth Treatment & RehabUltatlon
Page 4
of volunteer religious services for the facUlties In Phoenix and Tucson. We also recommend rec: luclng the
Agency's reliance on contracted religious services.
Eliminating four of the currently employed chaplains wli result In annual savings of $ 127,895 and
rec: lucing the Agency's reliance on contraetec: l religious services can result In an additional savings of $ 1 0,578
annually.
Business OffIce Accounting
Data gathered during the course of the review Indicates that there Is not currently enough workload
to justify staffing the Business Office at the Adobe Mountain/ Black Canyon Institution with seven Individuals.
We recommend eliminating two of the currently fUled positions, two vacant positions and downgrading the
Administrative Services OffIcer II position to an Administrative Services OffIcer I.
Eliminating the over- staffing situation at the Adobe Mountain/ Black Canyon Business OffIce will
result In annual savings of $ 103,911.
Maintenance
The Adobe Mountain/ Black Canyon maintenance department currently spends approximately
$ 100,000 for outside maintenance services. We have made a variety of recommendations that should result
In rec: lucing the need to rely on these outside services. We believe that It should be possible to rec: luce the
current dependence on outside maintenance contractors by at least 50% which would result In annual
savings of approximately $ 50,000.
Other maintenance related recommendations include:
• Develop and Install a backlog system for maintenance projects
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Mr. John R. Arredondo, Director
Department of Youth Treatment & Rehablltatlon
Page 5
• Develop and Install a Preventive MaIntenance system.
These recommendations will result In:
• Longer life of the Institution's physical plant, buBdings and related systems
• Reduced repair and replacement costs
• Enhanced maintainability of the Institution's systems
• Greater up- time for those systems that relate to the health and safety of the jlNenlles.
We also recommend eliminating one Clerk Typist position and one Physical Plant Supervisor III
position at Adobe Mountain. Eliminating these two positions wUl result In an annual savings of $ 60,608.
The total combined savings that will result from these maintenance recommendations Is $ 110,608.
Alamo Mental Health Facility
We recommend that the Alamo facUlty be closed and the jlNenUes currently housed there be moved
to the Black Canyon facllty. We believe that the potential benefits that can be realized by the Department
by closing the Alamo facUlty includes the foIlCMlng:
• Provision of a sater, cleaner, healthier and more cost effective facUlty tor those mental
health youths currently committed to the care of the Department of Youth Treatment &
Rehablltatlon
• Better utilization of the Black Canyon facUlty
Mr. John R. Arredondo, Director
Department of Youth Treatment & Rehablltatlon
Page 6
• Elimination of rent and operating expenses at Alamo ($ 165,330 per year) less the additional
cost of opening and operating the second Black Canyon cottage ($ 77,270 per year) will
result In a net annual savings of $ 88,060
• Elimination of those Alamo staff positions that are currently duplicated at Black Canyon
and would not need to be transferred If the Alamo facUlty was absorbed by the Black
Canyon operation wli result In a net annual savings of approximately $ 570,086. This labor
savings assumes that the number of youth that would be housed at Black Canyon would
be the same as that currently housed at Alamo. If the number of youth Increases at Black
Canyon, this savings figure could not be fully realized.
JOINT CENTRAL OFFICE & INSTITUTIONAL. RECOMMENDATIONS
Procurement
We do not believe that the small volume of work being performed by the Procurement & Contract
Management group justifies maintaining a staff which Includes a Supervisor, two Buyers. three Contract
Management Specialists, and three clerical support staff.
We recommend transferring the responslbUIty tor RFP production, Contract Management and
purchasing to the State Procurement OffIce In the Department of Administration. Transferring these
responslbHities to the State Procurement OffIce wDl enable the elimination of the entire Procurement and
Contract Management group. Eliminating the Contract Management department at the Central OffIce will
result In an annual savings of $ 219,584.
When these responslblities are transferred to the State Procurement OffIce, we recommend that
a performance monitoring system be established to ensure that the State Procurement OffIce provides the
level of service reqUired to meet the goals of the Agency. To the extent that the State Procurement OffIce
can provide the appropriate level of service, It should not be necessary to maintain an entire Contract
Management group within the Agency.
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Mr. John R. Arredondo, Director
Department of Youth Treatment & RehabUltation
Page 7
We recommend transferring the responsibRIty for purchase of goods from the two Buyer positions
at Adobe Mountain and Black Canyon to the Individual department heads ( such as Is done at the Catalina
Mountain facUlty). This transfer of duties wli enable the elimination of the two Buyer positions. Eliminating
these two positions wli resutt In an annual savings of $ 45,346.
JuyenUe Record Maintenance
We recommend that only one active file be maintained on each youth Instead of the current multiple
flies being maintained.
We recommend that the Case Workers or other Agency personnel who create documentation that
Is to be Inserted in the file, do so In Its final form, I. e., In either a legible handwritten form or In a typed form
and insert it directly Into the jwenHe's file. The preferred method would be to enter the data directly into
a Personal Computer and print the results for Inclusion In the Jwenlle's file. Some of the cottages are
currently equipped with Personal Computers.
Transferring the responslbUIty for fDe maintenance to the Case Managers and Case Workers wUl
eliminate the need to have a staff of Clerk Typists and Information Processing Specialists at the institutions
to type the handwritten documents that are currently being submitted to them.
We also recommend that the Agency continue to pursue Its long term goal of automating the entire
fie maintenance process. Most of the treatment and historical data contained within each youth's fDe can
be entered and stored electronically rather than In the current manually generated paper format We
understand that automating the Agency's youth file system Is one of your goals and we concur In this
approach.
Eliminating the duplication of flies and transferring the responsibBIty for record maintenance to the
Case Managers and Case Workers wUl result In the following benefits to the Agency:
Mr. John R. Arredondo, Director
Department of Yomh Treatment & RehabUltatlon
PageS
• Greater accuracy of the one remaining fie
• Elimination of the extra steps and personnel currently Involved In record preparation,
typing. fUlng and maintenance
• Elimination of 9.5 unnecessary staff positions that are responsible for typing and filing
JuvenUe records for an annual savings of $ 173.884.
Departmental Budget Responsibility
We recommend that the broad budget categories that are currently being used by the Agency to
allocate the annual budgeted funds be subdivided Into smaller, more manageable categories such as those
represented by the Object and Sub- Object codes of the STARS system.
We also recommend that a useful monthly reporting tool be developed that provides the Bureau
and institution managers with v1slbUIty of:
• Monthly expenses compared with the monthly plan
• Year- to- date expenses compared with the year- to- date plan.
Implementing the recommendations listed above will provide the following benefits:
• Provide the Individual Bureaus and Institutions with the appropriate tools to manage the
funds allocated to their areas
• Enhance the abHIty of the Bureaus and Institutions to proper1y plan their activities and
expenditures for the year
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Mr. John R. Arredondo, Director
Department of Youth Treatment & RehabDltatlon
Page 9
• Enable the Bureaus and Institutions to monitor their progress against the annual budget
on a monthly basis.
Performance Reporting
We recommend that an Agency- wide Performance Monitoring and Reporting System be developed
and Installed In all Bureaus and departments at the Central Office and all of the Institutions. Key
components of the system should Include:
• Gathering of daUy statistical data on the volume of work being completed In each area
• Development of standards that wDl provide guidance to management regarding the volume
of work that can be expected to be performed each day
• A simple method to compare the established standards with the actual dally results
• Active use of the dally data to manage the work of each area.
Installing a Performance Monitoring and Reporting System will provide the following benefits to the
Agency:
• Enable management to compare the relative performance of their employees
• Enable management to identify work volume trends and compare performance for slmUar
time periods
• Provide management with the abUIty to compare the relative performance of s1mUar offices
at the various Institutions
Mr. John R. Arredondo, Director
Department of Youth Treatment & RehabUltatlon
Page 10
• Enable management to determine If staffing levels are appropriate for the volume of work
being processed
• Enable management to identify areas of their departments that need Improvement
• Enable management to determine If performance Is Improving or deteriorating In their areas
• Enable management to effectively and objectively evaluate the performance of their staff.
MIS Strategic Plan
We recommend that an MIS Strategic Plan be developed by the Director, Deputy Director, Assistant
Director of Support Services and other key Agency personnel to be selected by the Director. Other key
personnel should be selected to represent the needs of the following areas:
• The Instltutions
• Case Management
• Health Services
• Business OffIce
• Maintenance
• Warehouse
• Purchase of Care
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Mr. John R. Arredondo. Director
Department of Youth Treatment & Rehablitation
Page 11
• Accounting and Finance
• education
• Volunteer Services
• Training Services.
Until the Strategic Pian has been formulated and finalized. we recommend that no further MIS
systems be planned. developed or Installed.
Genera! Observations
We realize that you are In the process of gUiding the Department of Youth Treatment &
RehabUitation through an Important and massive evolution. Although the Agency has undergone many
changes over the last severa! years since It was created out of the Department of Corrections. these
changes have not resulted In a more effective organization. For the first time since the creation of the
Department of Youth Treatment & Rehabilitation. you and your staff are bringing the appropriate experience.
vision and strength of purpose to enable this Agency to provide quality treatment and service to the youth
of ArIzona. We commend you for the positive steps taken thus far and support your future plans.
The recommendations detaUed In this report were made In the context of the state of the Agency
as It existed during the time frame of this review. Because your Agency Is In a state of transition and stDI
undergoing constant change. It wUl be Imperative to take Into consideration any Interim changes that are
executed by you and your staff when Implementing these recommendations. It may be necessary to modify
or adjust the suggestions and resolve any differences that may exist due to changes that have occurred
since this report was published.
Mr. John R. Arredondo, Director
Department of Youth Treatment & RehabHltatlon
Page 12
SUMMARY OF SAVINGS
The benefits to be derived from the recommendations outlined above are more fully detailed In the
body of this report. Exhibit 2, DYTR Summary of Savings, summariZes:
• The 42.5 currently filed staff positions that can be eliminated
• The seven vacant staff positions that can be abolished
• The $ 1,220,210 of annualized savings associated with these staff reductions
• The $ 148,638 of annualized savings from sources other than staff reductions.
Exhibits 3 through 10 depict the Organization Charts of those departments and Bureaus that were
reviewed and for which recommendations were made that Impact the structure of the organization. In all
cases, the Presn () rgBnizatiorB Struct1re ( as It was found during the review) preceeds the Proposed
() rgBnizatiorB Struct1re ( which reflects the recommended changes). Although the organizations that are
depicted in the Proposed Organization exhibits are consistent with the recommendations found in the body
of this report, they are not the only organizational structures that can be created to meet the goals of the
Agency. As mentioned above, any interim changes within these departments that are made by you or your
staff must be taken Into account when Implementing the recommendations and altering the organization.
IMPLEMENTATION
Implementation Is the most critical step in the process of achieving savings. Potential savings are
often identified but not achieved when the implementation process Is distracted by day- tCHiay activities or
managers shy away from the necessary reduction In staff. Successful Implementations are marked by two
important attributes:
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Mr. John R. Arredondo. Director
Department of Youth Treatment & Rehabilitation
Page 13
• A strong commitment from senior management to achieve as much of the savings as
possible
• The designation of Implementation team leaders with the necessary strength to see the
task through to completion.
The Implementation process Is best carried out as soon after the review process as possible. This
maintains momentum while the topics are fresh In people's minds. The recommended Implementation
Schedule. shown In exhibit 11, provides a suggested Implementation sequence and approximate duration
for each recommendation. We believe a dedicated team can accomplish Implementation In 8- 10 months.
A more detaUed Implementation plan should be developed as the first step of Implementation.
Implementation requirements for each of the recommendations are Included In the body of the report with
each Individual recommendation.
* * * * *
Mr. John R. Arredondo, Director
Department of Youth Treatment & RehabDltatlon
Page 14
We wish to thank you as the Director of the Department of Youth Treatment & RehabUltatlon and
your entire staff for their complete cooperation, participation, comments, suggestions and their full support
of our efforts dUring this study.
We appreciate this opportunity to have been of service to you, the Governor and the SUM Steering
Committee In this endeavor. Should you have any questions regarding this report, please feel free to
contact the Project executive. David St. John, or the SUM Team Leader for your Agency, John Barker.
The Agency Director's comments follow this signature page.
~ U~
David St. John
executive Director
Project SUM
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OTYR - 14A
, Quote from inital Project SLIM draft report.
FRAN GONZALO
ASSISTANT DIRECTOR
DAVID J. COCOROS
DEPUTY DIRECTOR
ohn R. Arredondo, Director
David St. John, Project Executive, Project SLIM
MEMORANDUM
June 5, 1992
DYTR is an agency in crisis. The safety of our youth, and staff, is in serious jeopardy.
• Basic life- safety issues such as inoperable fire- alarm systems, heating and cooling
systems that function inadequately and/ or sporadically, exposed wiring, missing and/ or
non- functioning lighting and plumbing fixtures in housing units, as well as structural
issues such as roofmg and building integrity need to be addressed.
DYTR is, however, in full agreement with the central goal of the Project SLIM audit: to identify
inefficiencies so resources can be more appropriately allocated within DYTR.
The Project SLIM audit report highlights major changes required for the elimination of
inefficiencies, makes recommendations for improved services, and supports DYTR plans for
meeting youth treatment, community protection and federal lawsuit requirements. DYTR has
discussed with Project SLIM the need for adjustments to some recommendations ( e. g. savings
noted included some limited, unfunded and/ or previously abolished positions; certain positions
were recommended for elimination that are needed, and so forth), and has already started to
implement other recommendations ( e. g. closing the Alamo Juvenile Institution; reducing funds
spent on contract maintenance, and so forth).
The goal of the Project SLIM audit of the Department of Youth Treatment and Rehabilitation
( DYTR) was to identify " waste and inefficiencies so that the limited resources of the Department
could be allocated more appropriately in order to enable the Agency to more effectively meet
the objectives of its mission and its responsibilities to the people, and especially the youth, of
Arizona." l
SUBJECT: Project SLIM Report
FIFE SYMINGTON
GOVERNOR
JOHN R. ARREDONDO
DIRECTOR
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DTYR - 148
JRAlsgv
I requested the Project SLIM audit in January, one month after I was appointed as the DYTR
Director. The need then, as it is now, was to quickly and thoroughly examine where the
agency's resources are being spent ineffectively so that these resources can be re- directed and
re- invested into areas that will ensure the safety of youth, staff, and the community.
• Adequate direct- care staff to youth ratios must be established to reduce staff and youth
injuries, destruction of state property, staff turn- over, and workers' compensation claims.
( Forty- nine workers' compensation claims have been flled by staff working in DYTR
secure facilities from December, 1991 through April, 1992).
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- 2- June 5, 1992
• Resources need to be re- directed to reduce legal liability. DYTR is currently facing a
number of lawsuits relating to conditions of confmement, inadequate staffing ratios, due
process procedures, " medical care, and treatment program and youth care deficiencies.
Over a million dollars has already been expended on defending just the Johnson vs.
Upchurch federal lawsuit. The issues raised in this lawsuits must be addressed. The
only question is timing: Will we resolve the system- wide issues that have been litigated
ourselves, or we will continue to expend resources on legal fees and settlement claims
while we wait for federal court directives?
Mr. St. John
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I EXHIBIT 1
Page 1 of 2
I SLIM INTERVIEW LIST
Arizona Department of Youth Treatment & Rehabilitation
I NAME TITLE DATE
I 1 John Arrendondo Director 2/ 24/ 92
2 Bill Patrick Budget Officer 2/ 25/ 92
I 3 Constance Kohl Planner 2/ 25/ 92
4 Jan Christian Task Force Liaison 2/ 25/ 92
5 Joel Blumenthal Public Info Officer 2/ 25/ 92
I 6 David Cocoros Deputy Director 2/ 26/ 92
7 Fran Gonzalo Support Svcs Ass't Director 2/ 26/ 92
8 Kelly Spencer Youth Services Administrator 2/ 26/ 92
I 9 Jim Price Administrative Svc's Officer 2/ 26/ 92
10 Alan Wright Education Superintendent 2/ 27/ 92
11 Mike Ullery Youth Placement Administrator 2/ 28/ 92
I 12 Diann Patterson Purchasing Manager 3/ 2/ 92
13 Mary Sommers Fiscal Services Specialist 3/ 2/ 92
14 Les Jennings Management Services Bureau Admin. 3/ 16/ 92
15 Lisa Escobar Administrative Assistant 3/ 4/ 92 I 16 Steve Troxel Buyer 3/ 4/ 92
17 Elena Perez Information Processing Specialist 3/ 5/ 92
18 Jim Swaziek Contract Management Specialist III 3/ 5/ 92 I 19 Connie Glancy Contract Management Specialist II 3/ 5/ 92
20 Donna Clark Contract Management Specialist II 3/ 5/ 92
21 Jan Piepergerdes Health Svcs Administrator 3/ 5/ 92
I 22 Dan Myers Fiscal Svcs Specialist III 3/ 6/ 92
23 John Correa Accounting Tech II 3/ 6/ 92
24 Tom Jensen Fiscal Svcs Specialist V 3/ 6/ 92
I 25 Margaret Burns Personnel Manager 3/ 6/ 92
26 Marian Webber No. Region Administrator 3/ 11/ 92
27 Sam Vaccaro Diagnostic Center Superintendent 3/ 12/ 92
I 28 Darwin Johnson Behavioral Health Treatment Unit Mgr 3/ 9/ 92
29 Vicki Kaltenberg Assistant Superintendent 3/ 10/ 92
30 Joan Bevier Administrative Assistant 3/ 12/ 92
I 31 Kay Stephens Business Manager 3110/ 92
32 Jim Nelson Maintenance Manager 3111/ 92
33 George James Maintenance Supervisor 3/ 11/ 92
I 34 Jim Whitehead Maintenance Supervisor 3110/ 92
35 Mandy Biggs Fiscal Services Specialist III 3/ 10/ 92
36 Elvira Mallory Fiscal Services Specialist III 3110/ 92
I 31 Jeanine Chaney Accounting 1echnician ill 3111/ 92
38 Alix Sands Accounting Technician II 3/ 10/ 92
39 Dave Novak Buyer 3/ 10/ 92
I 40 Ray Burley Storekeeper 3/ 9/ 92
I DYTR - 15
I EXHIBIT 1
Page 2 of 2 ( continued) I SLIM INTERVIEW LIST
Arizona Department of Youth Treatment & Rehabilitation I
NAME TITLE DATE I
4412 VDiiaHnennWleyeiss SPeecrsreontanreyl UTneicthSnuicpiearnvisor 33// 1121// 9922 I
43 Frank Vloch Senior Chaplain 3/ 9/ 92
44 Vic Kane Work Program Officer 3/ 10/ 92 45 Ted Kuhn Investigations Supervisor II 3/ 17/ 92 I
46 Jack Boyle Program & Projects Specialist II 3/ 17/ 92
47 Pat Thomason Program & Projects Specialist II 3/ 17/ 92 48 Ed Miksch EDP Program Analyst II 3/ 18/ 92 I
49 Corrine Slater EDP Program Analyst 111 3/ 18/ 92
50 Janet McGill Corr. Records Clerk II 3/ 18/ 92
51 Dolores Rankin Corr. Records Clerk I 3/ 18/ 92 I 52 Mary Lynn Russo Administrative Assistant III 3/ 18/ 92
53 Beth Cowan Accounting Technician III 3/ 19/ 92
54 Wendy Chisholm Accounting Technician II 3/ 19/ 92 I 55 Phyllis Bennett Investigator II 3/ 19/ 92
56 Beth Bates Staff Development & Training Officer 3/ 19/ 92
57 Sally Cobb Volunteer Coordinator 3/ 20/ 92 I 58 Duane Gerry Building Planning Coordinator I 3/ 20/ 92
59 Doc Holloway Investigator 111 3/ 19/ 92
60 Jim Santa Cruz Superintendent 3/ 23/ 92 I 61 Kieth Arnold Chaplain 3/ 23/ 92
62 Eli Jefferson Chief of Security 3/ 23/ 92
63 Art Glass Business Manager 3/ 23/ 92 I 64 Bill McPheron Equipment Mechanic 3/ 23/ 92
65 Bev Waslaski Fiscal Services Specialist III 3/ 23/ 92
66 Fay Eduvigen Storekeeper I 3/ 23/ 92 I 67 Mike Lopez Storekeeper I 3/ 23/ 92
68 Jim Cook Physical Plant Supervisor 3/ 23/ 92
69 Domenick Collura Food Service Supervisor II 3/ 23/ 92 I 70 Rich Trujillo Youth Program Officer II 3/ 23/ 92
71 Bill Rowe Volunteer Coordinator 3/ 23/ 92
72 Tom Turos Correctional Education- Principal 3/ 23/ 92 73 Carl Fox Youth Hearing Board 3/ 24/ 92 I
74 Lisa Shoemaker Payroll Clerk 3/ 24/ 92
75 Dave Graham Fiscal Services Specialist III 3/ 24/ 92 76 Cany Baird Payroll Clerk 3/ 31192 I
n Sharon Miller Youth Services Admin Assistant 4/ 6/ 92
78 Cherie Moreno Business & Finance Admin Assistant 4/ 6/ 92 I
I DYTR - 16
I
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DYTR SUMMARY OF SAVINGS
ELIMINATE
FILLED
POSITIONS
CENTRAL OFFICE RECOMMENDATIONS
ABOLISH
VACANT
POSITIONS
TOTAL
POSITIONSl AVOIDED
SAVED COST
FTe .• · · .~ T. · OTHeR
DOLLAR DOLLAR
SAVINGS SAVINGS
EXHIBIT 2
TOTAL
DOLLAR
SAVINGS
Central Office Payroll I 1 1 I 1 , I $ 18,535 1 / $ 18,535
$ 0
Combine Central Office Accounting Functions I 1 1 1 I 21 18,535 I $ 25,569/ I $ 44,104
$ 0
INSTITUTIONAL RECOMMENDATIONS I I I I I I I $ 0
$ 0
Chaplain Services I 41 1 41 I $ 127,895 $ 10,578 $ 138,473
$ 0
Institution Business Office Accounting I 21 21 41 49,573 I $ 54,338 $ 103,911
$ 0
Institution Maintenance I 21 I 2/ I $ 60,608 I $ 50,000 I $ 110,608
$ 0
Alamo Mental Health Facility 17 17 $ 570,086 $ 88,060 $ 658,146
~
$ 0
JOINT CENTRAL OFFICEIINSTITUTIONAL $ 0
I RECOMMENDATIONS $ 0
.... $ 0
.."
Central Office Procurement & Field Procurement 7 3 10 58,294 $ 206,636 $ 264,930
$ 0
Juvenile Record tl1aintenance I 8.5 I 1 I 9.5 1 17,341 I $ 156,543 I I $ 173,884
$ 0
Departmental Budget Responsibility I I I I I I I $ 0
$ 0
Performance Reporting I I I I I I I $ 0
$ 0
Develop MIS Strategic Plan I I I I I I I $ 0
- r1 49.5 I$ 143,7431$ 1; 220,2101$ 148,6381
$ 0
GRANO TOTAL I · . 42.5 · · r-- $ 1,512,591
,....~~
DEPARTMENT OF YOUTH TREATMENT EXHIBIT 3
AND REHABILITATION
CENTRAL OFFICE
BUSINESS/ FINANCE ADMINISTRATION
PRESENT ORGANIZATIONAL STRUCTURE
- _ WAe2-
AJlttIH. SERVICES
( niCER III
1
I
I I
COITRACT fiSCAL SERVICES PAmJll
twlAGEl'fHT
~ ~ SPECIALIST V ClfRl(
5lI'ER'/ I SlJI
I 2 2
COITRACT
twlAGEt£ HT FISCAL SERVICES
""-
SPECIALIST III f-- SPECIALIST III
I
2
I
COITRACT
twlAGEIt'HT
SPECIALIST II AWUlTIHG
2 - TEOtIlCU" III
I
MER III
~
ACIXUlTlHG
I
f-- TECItIlCiAH II
)
IlU\' ER II
I ~ w
AJlttIHISTRATlVE
- ASSISTANT I
I
AJlttlH
-- ASSISTANT I H: I'FOOHATIOO II I
POOCESS1~ lG SPECII
Y AJlttIHISIRATlVE I SECRETARY I
I - - -
~
: D
.....
( X)
- - - - - - - - - - - - - - - - - - -
~
I - CD
DEPARTMENT OF YOUTH TREATMENT
AND REHABILITATION
CENTRAL OFFICE
BUSINESS/ FINANCE ADMINISTRATION
PROPOSED ORGANIZATIONAL STRUCTURE
APlIN. SERVICES
lFFICfR III ,
I
I I
PAVlnl FISCAL SEIlVlCES
ClEll( ~ SPECIAlIST V
I 2
FISCAL SERVICES
- SPECIAliST III
2
ACCOJITIt « l
I- TECItlICIAN III
I
ACCOJITIt « l
- TECItlICIAN II
I
SECAETARV
-
I
APlIN
L- ASSISTANT I
I
EXHIBIT 4
lft\ 9J- l
~
I
~
1DlTI£ AN REGICIl
SlJ'ERINmaNT
I
I
IHSTlTUTIDlAl
CIlAPlAIN II
I
I
I
IHSTlTUTIDlAL
CIlAPlAIN I
]
DEPARTMENT OF YOUTH TREATMENT
AND REHABILITATION
CHAPLAIN SERVICES
PRESENT ORGANIZATIONAL STRUCTURE
-_ ..,
IllJS
EENS I
I
•••• J
SOOTII REGIOl
SlJ'ERINTEItlENT
1
I
IHSTlTUTIDlAl
CIlAPlAIN I
I
r ••••"•••• ,
RELIGIllJS I \ Q. LllTEERS I
I I
L••••••• _ J
EXHIBIT 5
- - - - - - - - - - - - - - - - -
- - - - - - - - - - - - - - - - - - -
~
N....
DEPARTMENT OF YOUTH TREATMENT
AND REHABILITATION
CHAPLAIN SERVICES
PROPOSED ORGANIZATIONAL STRUCTURE
CHiEfa'
CHILD CARE lOll(
I
INSTlTUlIOOL
CHAPLAIN II
I
r - - - .". - •• ,
IlELlGIWS
I ,/ OUJlTEERS I
I I
L. •••• J
EXHIBIT 6
IMI-!
~
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~
DEPARTMENT OF YOUTH TREATMENT AND REHABILITATION
ADOBE MOUNTAIN/ BLACK CANYON BUSINESS OFFICE
PRESENT ORGANIZATIONAL STRUCTURE
ADMINISTRATIVE
SEftVICES
OFFICER II
I
r I I 1
I'HYSICAL I'LAIIT FISCAL SERVICES ADIlINISTRATlVE
SUI'ERYISOIt SI'ECIALIST OFFICER I IIlYER II
III III
Z , , I
I'HYSICAL I'LAIIT ACCOUNTING
SUI'ERYISOR TECHNICIAN
l- II f- III , ,
I'HYSICAL I'LANT ACCOUNTING
SUI'ERYISOIt TECHNICIAN
l- I "- II
I I
IUILDING
MAINTENANCE
I- TECHNICIAN
II
a
CLEftK
TYI'IST I
l-
I
CORIIECTIONAL
WORK I'ROJECTS
'- SI'ECIALIST ,
EXHIBIT 7
- - - - - - - - - - - - - - - - - - -
~
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DEPARTMENT OF YOUTH TREATMENT
AND REHABILITATION
ADOBE MOUNTAIN/ BLACK CANYON
BUSINESS OFFICE
PROPOSED ORGANIZATIONAL STRUCTURE
_ a'
INSTlTUTllIlAL
HAHAGfHfNT
SERVICES
I
PllV5ICAL PLANT
f-- SlJ'ERVISCJl II
1
llUllOINll
MAINTENANCE
TECitlIClAN II
7
PllV5ICAL PLANT
'--- SlJ'ERVISCJl I
I
llUllOINll
IIAINTENANCE
f-- TECItIICIAN II
1
CCRRECTllIlAL
lOlK POOJECTS
'-- SPECIALIST
1
AOHINISTRATIVE
SERVICES
lFFICER I
I
FISCAl SERVICES
SPECIALIST III
1
ACCOONTINlI
TECItIICIAN III
1
EXHIBIT 8
~
~
Nm: IOMTAIN
caRCTllIlAL
REWlllS
r-- TECI. UCIAH
I
caRCTllIlAL
- REClRlS CLERK
2
IIFCItIATlat
PlIlCESSIHil - SPECIALIST II
2
JIFCItIATlat
PlIlCESSIHil
'-- SPECIALIST I
2
CLERK
- TYPIST
I
DEPARTMENT OF YOUTH TREATMENT
AND REHABILITATION
JUVENILE RECORD MAINTENANCE
PRESENT ORGANIZATINAL STRUCTURE
CATM. INA
llJlRECTllIlAL
RECCIlOS
TECt. UCIAH
I
I
CLERK
TYPIST
2
BtN: K (),/ fi~
llJlRECTIlIlAL
RECCIlOS
TECIflICIAH
I
( ENTIVJ. ( Jfl([
llJlRECTllIlAL
REWlllS
CLERK
2
EXHIBIT 9
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EXHIBIT 11
===~> = FOLLOW UP
DYTR - 26
1. 2 3 4 5 6 7 8 9 1.9
...
•
• ----=>
III • I I I I •
ONGOINt
I • I >
I I I • I I I >
I I I• I I I > I • I I I I I I I > I I I I I. I I I >
INSTITUTIONAL
POXNT TXTLE
DEPARTMENT OF VOUTH TREATMENT
AND REHABILITATION
CENTRAL OFFICE
I~ ple~ entation Schedule
M 0 N TH S
JOINT CENTRAL OFFICE~
INSTITUTIONAL
Alall'o Facility
------... = ACTIUE IMPLEMENTATION
Chaplain Seruices
Business Office
Accounting
t'laintenance
Payroll
Accounting Functions
Juuenile Record
t'laintenance
Procurell'ent
Departll'ental Budget
Responsibility
Perforll'ance Reporting
Deuelop t'lIS Strategic
Plan
...- -----_-. 1
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CENTRAL OFFICE PAYROU
Current Situation
The central Office Payroll Department is currently staffed with two Accounting Technicians II that
serve as the Payroll Clerks for the Agency. They are responsible for the following functions:
• Input exceptions to dally reported hours for each pay period ( twice per month) for:
central Office staff
Alamo staff
Ironwood staff
Desert Valley learning center staff
( the payroll data for the other institutions Is entered remotely at each institution)
• Reconcile Payroll Register with employee Change Sheets once per pay period
• Process Payroll Adjustments once per pay period ( as necessary)
• Process Industrial Claims as necessary
• Process Employee Transfers once per pay period ( as necessary)
• Reconcile AFIS data with STARS data once per pay period ( this task will no longer be
necessary after the Agency begins using AFIS II sometime later this year)
• Answer employee's questions regarding payroll issues
• Research payroll questions for employees and Personnel Department.
The two Accounting Technicians that fulfill these responsibilities reported that they spend only 70
hours per month between them to complete all of their dally duties. This - hours worked- figure appeared to
be so low relative to the - hours paid- figure ( 2 people X 160 hours paid/ month.." 320 hours paid) that both
of the Individuals were interviewed jointly a second time to verify the amount of time spent on these
DYTR - 27
activities. The second Interview revealed that there are no other duties for which these Individuals are
responsible and also confirmed the 70 hours per month figure.
The Administrative Assistant In the Youth Services Bureau reported to us that she Is responsible
for the Input of payroll data for approximately 25 Parole Officers. She spends approximately two hours per
payroll period ( four hours per month) to Input the data and reconcllng the Payroll Register with the
employee Change Sheets.
ImPact
Maintaining two Payroll Clerks when there Is only 70 hours per month of productive work available
has resulted In staffing the department with twice as many clerks as needed.
Recommendation
We recommend that the four hours per month of payroll duties currently being handled by the
Youth Services Administrative Assistant be transferred to the Payroll Department.
We recommend that one of the Payroll Clerk positions be eliminated. However, this still leaves
approximately 90 hours per month of time available for other duties. We suggest that this available time be
used to supplement the other department's clerical needs.
We also recommend that either the Personnel Assistant or Personnel Technician be cross trained
to serve as a backup to the Payroll Clerk during periods of absence and vacation.
Benefit
Eliminating the one unnecessary Payroll Clerk position wUl result In annual payroll savings of
$ 14,481 and ERE ( 28%) savings of $ 4054 for total annual savings of $ 18,535.
Central Office Reduction - one Accounting Technician II
$ 14,481 + 28% ERE ($ 4054) = $ 18,535
DYTR - 28
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• Transfer all payroll duties to one of the current Payroll Clerks
• Develop Internal Agency system to direct clerical duties from the other Agency
departments to the Payroll Clerk to perform during periods of low payroll activity
• Cross train Personnel Assistant or Personnel Technician to serve as backup to Payroll
Clerk.
DYTR - 29
COMBINE CENTRAL OFFICE ACCOUNTING FUNCTIONS
The Central OffIce Accounting function is staffed with one Administrative Services Officer III, two
Fiscal Services Specialists V, two FIscal Services Specialists III, one Accounting Technician III and three
Accounting Technicians II ( one position Is vacant), one Secretary and one Administrative Assistant
These Individuals are responsible for the following activities:
• Accounts Payable processing for:
Central Office purchases
Health Services purchases
Education purchases.
Accounts Receivable processing for:
Witness Fees
Fines
Parental Assessment
Restitution
• Travel Claims from Central Office employees
• Posting of Federal Grant data
• Tracking of donations
• Processing of deposits to the General Accounting Office for such Items as:
Parental Assessment
Restitution
etc.
• Administrative transfers
• ReconcUiation of checking accounts
DYTR - 30
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• Tracking and reporting of Federal funds received and expended
• Federal Grant reporting
• Reconciliation of STARS and AFIS accounting systems
• Processing Tuition reimbursement requests
• Capital Asset inventory maintenance
• Ad hoc financial reporting.
The Accounts Payable activities ( Health Services, Education & Central Office expenditures) have
been divided between the two Accounting Technicians II. One of the Technicians processes the Health
Services invoices while the other Technician processes the payables for the Education and Central Office
expenditures. The Education Payables were previously handled by the third Accounting Technician II. This
position is currently vacant and the duties of this position have been transferred to the Technician who
handles the Central Office Payables.
Although there is no statistical nata currently available to Indicate how many Education and Central
Office invoices are processed each month, the Technician reports that she spends approximately 50% of
her time encumbering the funds and paying the invoices for the Central Office and Education expenditures.
She spends an additional 25% of her time posting Federal Grant data and printing the reports associated
with the Grants received by the agency. The balance of her time ( the remaining 2S%) Is currently spent
processing such items as Parental Assessment payments, restitution STARS entries and tracking donations
to the Agency. Itwas not evident that there was actually 20 hours of work per week Involved In these other
activities and there was no reported backlog of work.
There are approximately 90 Health Services Invoices processed each month by the other
Technician. This amounts to about Sinvoices per day. Well organized Accounts Payable systems typically
require 1- 5 minutes per Invoice for processing. At the slowest rate, the Accounts Payable processing for
Health Services Invoices should take approximately 25 minutes per day. His only other responsibility is
processing Tuition Reimbursement requests. These requests are received on an Intennlttent basis as
empl"''' eee- ••• - J w h~ t" i,.....,... a".,'...~. u... plet~.., w" w'" w....."..,. ij, t~\",..... i. ai\ slsoo. V. ai_ ligvlbllvn f Ur ." O"" · iltm- b" v- e. m... si" ii"...
DYTR - 31
DYTR - 32
Benefit
ImPact
Recommendation
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Total Savings: $ 25,569 + $ 18,535 = $ 44,104
• Transfer all Accounts Payable processing to one individual
Accounting Technician ( vacant): $ 14,481 + 28% ERE ($ 4054) = $ 18,535
After Interviewing and observing the one Technician that Is currently handling the Education and
Central OffIce Payables ( previously handled by two budgeted FTEs), it appears that there is only enough
workload for one position rather than the two positions that are budgeted for this department.
Accounting Technician II: $ 19,976 + 28% ERE ($ 5593) = $ 25,569
After Interviewing and observing the Technician that handles the Health services Payables, it
became dear that the work assigned to this position Is not sufficient for one full time employee.
We recommend that the work associated with the Health Services Payables and the Tuition
Reimbursements be combined with the work currently being performed by the other Technician handling
the balance of the Central OffIce Payables. This will enable the department to eliminate one of the currently
filled Accounting Technician II positions. In addition, we recommend that the currently vacant Accounting
Technician II position be abolished.
Eliminating the currently filled Accounting Technician II position will result in an annual savings of
$ 25,569 and not filling the currently vacant position will result in an annual savings of $ 18,535 for a total of
$ 44,104.
Implementation
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• Cross train one of the Fiscal Service Specialists in the Accounting and Finance department
to serve as an Accounts Payable backup during periods of vacation or absence.
DYTR · 33
Q1APl. AIN SERVICES
The Department of Youth Treatment & RehabBltatlon currenUy employs five full time Chaplains to
administer to the spiritual needs of the Department's Incarcerated youth. The Senior Chaplain Is based at
Adobe Mountain and manages the activities of three Chaplains ( one full time Chaplain at Adobe Mountain,
one full time Chaplain at Black Canyon, one 1/ 4 time Chaplain at Adobe Mountain and one 3/ 4 time
Chaplain at Alamo). The Senior Chaplain Is also assisted by contracted Protestant and catholic services
as well as a myriad of volunteer clergy and lay people that utBlze the Chapel facUlty on the grounds of the
Adobe Mountain Institution. We were told during our Interview with the Senior Chaplain that there are as
many as 120 volunteers on his rolls at any given time that are able to administer to the needs of the youth
at Adobe Mountain and Black Canyon. CurrenUy there are approximately seven volunteer clergy and 110
volunteer lay people assisting the Chaplains at Black Canyon and Adobe Mountain.
There Is also one full time Chaplain at Catalina Mountain In the South Region that Is supplemented
by contracted catholic services as well as other volunteer clergy and lay people.
The newtyappointed Director of the Department of Youth Treatment & RehabUitation reported that
he used only one paid Chaplain for the Youth Treatment Agency which was responsible for the entire state
of Texas. This paid Chaplain was then supplemented with a variety of unpaid volunteers from each of the
communities in which the Institutions were located. The Director reported that there were always more than
enough volunteers that were willing to provide the needed services to the Incarcerated youth In Texas.
The Department of Youth Treatment & RehabUltatlon Is currenUy spending $ 162,914 per year for
the salaries ( and ERE) of the five Chaplains and an additional $ 10,578 for the Protestant and catholic
services that are contracted to outside entities.
We recommend that the ArIzona Department of Youth Treatment & RehabDltation fashion their
Chaplaincy services after the Texas system whereby the bulk of the spiritual services are provided by
DYTR - 34
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volunteers. The Senior Chaplain should serve as the coordinator and manager of these services for the
facUlties in Phoenix and Tucson. We recommend that the clergy of the various denominations represented
by the population of incarcerated youth be contacted to determine their willingness to donate their time to
provide those specialized services ( such as administering the Mass, baptisms, etc.) that are not able to be
provided by volunteers. To the extent that these services are unavailable on a donation basis, we
recommend that these services be contracted out on an as- needed basis.
Benefit
Reducing the current Chaplain staff to one Senior Chaplain from the current number of five
Chaplains will result in an annualized savings of $ 127,895. In addition, If the use of paid contracted
Protestant and Catholic Services can be replaced with donated services, an additional savings of
approximately $ 10,578 can be realized for a total of $ 138,473 as shown below.
Adobe Mountain
• .25 Institutional Chaplain: $ 8049 + 28% ERE ($ 2253) = $ 10,302
• one Institutional Chaplain: $ 25,500 + 28% ERE ($ 7140) = $ 32,640
• .75 Institutional Chaplain: $ 16,111 + 28% ERE ($ 4511) = $ 20,622
Black Canyon
• one Institutional Chaplain: $ 21,803 + 28% ERE ($ 6104) = $ 27,907
Catalina
• one Institutional Chaplain: $ 28,457 + 28% ERE ($ 7967) = $ 36,424
Implementation
• Develop a · Service Matrix" for each Institution that displays the:
DYTR - 35
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religious services that need to be delivered to the youth
the current provider of each service ( volunteer, paid state staff or contracted
service provider)
Determine to what extent volunteers can assume the duties that are currently being
administered by paid Chaplains
Assign appropriate volunteers to each service
Review existing religious service contracts and determine whether service needs to be
continued and, if not, the ability to cancel the contract.
DYTR - 36
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INS1JlU[ ION BUSINESS OFFICE ACCOUNllNG
The Business Office at the Adobe Mountain/ Black Canyon Institutions Is currenUy staffed with one
Administrative Officer II physically located at Black Canyon, two Administrative Officers I ( both positions are
currenUy vacant), two Fiscal Services Specialists III physically located at Black Canyon, one Accounting
Technician III physically located at Adobe Mountain and two Accounting Technicians physically located at
Black Canyon ( one position Is vacant).
The Business Office at catalina Mountain Is currenUy staffed with one Administrative Services
Officer I, one Fiscal Services Specialist III and one Accounting Technician III. All three of these positions
are currenUy filled and are physically located at Catalina Mountain.
The one Administrative Services Officer II, two Fiscal Services Specialists, one Accounting
Technician II and one Accounting Technician III at Adobe Mountain/ Black Canyon and the Administrative
Services Officer I, one Fiscal Services Specialist III and one Accounting Technician III at Catalina Mountain
are responsible for the following functions at their respective Business Offices:
• Standard Accounting and Reporting System ( STARS) data entry for Institutional Accounts
Payable ( encumbrances and claims)
• STARS data entry for accounting transfers
• Accounting for juvenile trust accounts
• Accounting for travel claims
• Creating monthly financial reports
• Creating financial projections as needed
• Completing physical asset forms
• Maintaining financial records for Awards and Recreation fund
DYTR - 37
• Maintaining parental assessment financial records
• Coordinating Risk Management paperwork ( this will be significantly reduced by a
Department of Administration Risk Management recommendation)
• Reconciling local bank checking accounts
• Maintaining monthly worksheet for National School Breakfast/ Lunch Program
• Tlmekeeplf) g for Business Office personnel
• Maintaining manual financial ledgers
• Reconciling manual ledger with automated STARS printouts on a monthly basis
• General supervisory and managerial duties.
The combined three person staff at Catalina Mountain reported that they spend approximately 400
hours per month in total executing the duties listed above. The 80 hours per month that were left
unaccounted for ( 3 persons X 160 hours/ month = 480 hours/ month of available time) represent a
combination of Idle time and under- estlmatlng of the specific duties performed on the part of the staff. During
the one day that these individuals were observed performing their responsibilities, very little Idle time was
apparent.
The staff of the Adobe Mountain/ Black Canyon Business Office reported that only 200 hours per
month were required each month by the combined staff to execute the duties listed above. Once again,
the 600 hours per month left unaccounted for ( 5 persons X 160 hours/ month = 800 hours/ month of
available time) represent a combination of Idle time and under- estlmatlng of the specific duties performed
on the part of the staff. During the two days this staff was observed performing their functions, It was
apparent that a great deal of Idle time exists In this Business Office.
The contrast between the Catalina Mountain Business Office and the Adobe Mountain/ Black
Canyon Business Office was remarkable. Whereas the Catalina Mountain Business Office staff appears to
DYTR · 38
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be fully loaded with work throughout the work day and dUigently pursues their responsibUities, the Adobe
Mountain/ Black Canyon Business Office appears to have an excessive amount of idle time built into their
workday. This is not to say that the workers are not dUigent in the pursuit of their duties. However, the office
Is over- staffed to such an extent that the workers have no difficulty in completing their work each day with
excessive amounts of time left over.
There is no performance reporting system In place to enable the Business Office Manager ( the
Administrative Services Officer II) to monitor and measure the relative workload and performance of the staff
members. This makes It very difficult to determine the appropriate staffing level relative to the existing
workload.
The manual ledgers that are maintained and reconciled at both Adobe Mountain/ Black Canyon and
Catalina Mountain are entirely unnecessary. These ledgers are maintained because of the distrust the
Business Offices have for the Agency's Central Office Accounting staff. Apparently the Central Office has
made accounting entries in the STARS system in the past that resulted in errors appearing in the accounts
of the institutions that were discovered whUe reviewing the monthly STARS reports. As a result, both of the
Business Offices have developed manual ledger systems to supplement the STARS system. The Fiscal
Services Specialists use the ledgers to enter and track the entries they make In the automated STARS
system. In this way, they can compare the manual ledger with the monthly STARS reports to determine if
the Central Office has made any entries that affected their accounts. It was reported that approximately 12
hours per month is spent maintaining and reconciling the manual ledgers. Although an entry by the Central
Office is found occasionally, It is typically a correct and legitimate entry. These entries are normally to
proportionately allocate the costs of telecommunications and computer services to the institutions.
Recommendation
We recommend that the use of the manual ledgers by the Business Offices be discontinued. We
further recommend that, If the Central Office finds it necessary to make STARS entries that wUl affect the
accounts and budgets of the institutions. they notify the appropriate Business Office so they are aware of
the transaction.
In regard to the over- staffing situation in the Adobe Mountain/ Black Canyon Business Office, we
recommend the following staffing modifications:
• Do not fill the vacant Accounting Technician II position
DYTR - 39
• Eliminate the currently filled Accounting Technician II position
• Eliminate one of the two Fiscal Services Specialists III positions
• Downgrade the Administrative Service Officer II to an Administrative Service Officer I
position ( to be consistent with the staffing In the Business OffIce at Catalina Mountain) and
eliminate the Administrative OffIcer II position
• Do not lUI the other vacant Administrative ServIce Officer I position
• Retain the Accounting Technician III position
These changes will result In staffing the Adobe Mountain/ Black Canyon Business OffIce with the
same size staff as Catalina Mountain ( one Administrative Services Officer I, one Fiscal Services Specialist
III and one Accounting Technician III ( see exhibit 8, Adobe Mountain/ Black Canyon Business Office ­Proposed
Organizational Structure).
Although Adobe Mountain/ Black Canyon has approximately twice as many jlNenlles as Catalina
Mountain, there should be no reason that the gross number of accounting transactions would also be twice
that of Catalina Mountain. Although It would be expected that there would be some Increase In the number
of transactions, It should not be double ( however, the dollar value of the transactions would be expected
to be higher). Considering that the Catalina Mountain staff of three Is not fully loaded with work at current
volumes, we believe that the suggested staffing changes at Adobe Mountain/ Black Canyon will be sufficient
to handle the current volume of work.
To ensure that the staffing levels are correct, we recommend that a performance monitoring system
be developed and Implemented at both Adobe Mountain/ Black Canyon and Catalina Mountain. This system
should enable the Business Manager to:
• Track the volume of each type of work performed by the Business Office staff
• Evaluate the effectiveness of the staff In completing the work In a timely manner
• Determine the appropriate staffing level as work volumes Increase or decrease.
DYTR - 40
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Eliminating the unnecessary manual ledgers being maintained at the Institution's Business Offices
wli result In providing the staff of each of the offices with an additional 12 hours of time each month that
can be devoted to their other responslbUltles.
Eliminating the over- staffing situation at the Adobe Mountain/ Black Canyon Business Office will
result In annual savings of $ 54,338 plus the avoided cost of not filling the two vacant positions of $ 49,573.
Adobe MOYntaln/ Black Canyon
Accounting Technician I
$ 13,548 + 28% ERE ($ 3793) = $ 17,341 ( vacant)
$ 14,481 + 28% ERE ($ 4054) = $ 18,535
Fiscal Services Specialist III
$ 22,274 + 28% ERE ( 6236) = $ 28,510
Administrative Services Officer I
$ 25,182 + 28% ERE ($ 7050) = $ 32,232 ( vacant)
Downgrade Administrative Services Officer II to Administrative Services Officer I
$ 39,525 - $ 32,232 = $ 7,293
• Develop procedure for Central Office to alert Business Offices of STARS accounting entries
made In the Central Office
• Eliminate use of manual ledgers at the Business Offices
DYTR - 41
•
•
Consolidate Adobe Mountain/ Black canyon Business Office work responsibUities into the
three remaining positions
Develop performance monitoring system for catalina Mountain and Adobe Mountain/ Black
canyon Business Offices.
DYTR - 42
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INSTITUTION MAINTENANCE
Current Situation
The Maintenance Department at Catalina Mountain is staffed with one Physical Plant Supervisor II,
three BuDding Maintenance Technicians II and one Welder. This permanent staff is currently being
supplemented with one temporary maintenance worker. The Maintenance Department reports to the
Business Manager.
The Physical Plant Supervisor has developed a maintenance backlog system that lists all
outstanding maintenance projects on a board in the Maintenance Department. As maintenance jobs or
projects are Identified, they are added to the board and removed when they are completed. Although no
estimates are made of the time required to complete the jobs on the board, It does serve to provide a
degree of visibility of the outstanding work to be performed by the Maintenance Department.
In addition to the backlog system, there is a Maintenance Work Order system in place. The Work
Order system enables any individual within the institution that notices an Item that needs repair to bring the
Item to the attention of the Maintenance Department by completing a Work Order Request.
Each morning, the Physical Plant Supervisor reviews the Items on the Backlog Board, and any
outstanding Work Order Requests, and prioritizes the work to be done for that day. He then assigns the daily
work to the Maintenance Technicians and the Welder. Although no attempt Is made to estimate the amount
of time reqUired to complete the work assigned to each worker, the Supervisor does follow up periodically
with each Technician to ensure that appropriate progress Is being made on each assignment. The
Equipment Mechanic does not take part in this assignment system and prioritizes his own work on a daily
basis.
Although we were told that a Preventive Maintenance system is In place, It Is not a centralized
system that enables the Supervisor to periodically review which equipment needs attention and assign the
work accordingly. Instead, there Is a log on each piece of equipment that enables a Technician to Indicate
when work has been performed on the equipment.
The Maintenance Department at Adobe Mountain Is staffed with one Physical Plant Supervisor III,
one Physlc. a! Plant Supervisor n. seven Bulld! ng Maintenance Techn! d: lns II ( one poslt! on Is vacant) and one
Clerk Typist I. Also reporting to the Physical Plant Supervisor III at Adobe Mountain Is the Maintenance
DYTR · 43
Department at Black Canyon. This crf1' N consists of one Physical Plant Supervisor I, one BuUding
Maintenance Technician II and one Correctional Work Projects Specialist ( currently being staffed with one
Youth Corrections Officer II). Both of these maintenance groups report to the Business Manager at Black
Canyon through the Maintenance Supervisor III at Adobe Mountain.
Our intervif1' N with the Physical Plant Supervlsor III at Adobe Mountain revealed no reasonable
explanation why a Clerk Typist was required In the Maintenance Department. The only project on which she
Is currently working involves typing information from the Work Orders into a personal computer. This project
Is resulting in nothing more than a list of Work Orders that have been completed. No cost data is being
Input and It is not being entered Into a data base type system that can be used to access or manipulate any
statistical Information. The data that is being Input Into the computer Is the same as that on the hard copies
of the Work Orders, provides no nf1' N Information and serves no useful purpose.
No backlog system has been established at either Adobe Mountain or Black Canyon that provides
v1sibUity of the maintenance work or projects that need to be performed at these facUlties. Although there
is a Work Order request system, no attempt is made to estimate the time required to complete the work
requested. The work orders are simply handed out to the Maintenance Technicians and they are allowed
to complete the work at their own pace.
The Physical Plant Supervisor I at Black Canyon has created a Preventive Maintenance system for
all of the equipment at that facility. The system consists of a logbook that contains a separate sheet for
each piece of equipment. The sheet details the type of maintenance service that is required and what the
required interval is between services. A review of the Preventive Maintenance sheets indicates that the
system is being actively used to maintain the equipment at Black Canyon. No such system exists at Adobe
Mountain.
The Physical Plant Supervisor II at Adobe Mountain reported to us that he frequently uses the
services of outside contractors to supplement the work being performed by the Building Maintenance
Technicians. He told us that he does this primarily because of the lack of expertise among his Maintenance
Technicians. Accounting records maintained by the Business Manager at Black Canyon indicate that over
$ 100,000 has been spent thus far this fiscal year for outside maintenance services at the Adobe Mountain
and Black Canyon institutions. Intervif1' Ns with several of the Maintenance Technicians indicated, however,
that most of the work being contracted out could have been performed by the on- staff Technicians. The
Physical Plant Supervisor at Catalina Mountain told us that he rarely contracts out for maintenance services.
He reported that his resident staff has the expertise to perform almost all of the work necessary at the
DYTR - 44
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Catalina Mountain facility. The only exception is the annual service contract for the fire safety system.
ArIzona law requires that a certified technician perform all maintenance on fire safety systems and there are
no such certified technicians on the staff of any of the Department of Youth Treatment & RehabUitation
Institutions. Adobe Mountain & Black Canyon also have a service contract for their fire safety systems.
The Central Office Management Services branch of Support Services has one BuDding Plans
Coordinator I ( currently vacant). The Individual that fills this position has overall responsibility for the
following activities:
• Coordination of all new construction
• Coordination with all regUlatory agencies regarding maintenance and construction matters
at the institutions
• Coordination with local Fire Marshalls for inspection and repair of the fire safety systems
• Cost estimating for all construction projects
• Coordinating all RFPs and proposals for outside engineering services
• Reviewing and approving all maintenance plans and projects
• Formulating all Agency policy regarding facility maintenance and repair
• Creating capital budget requests.
The recently appointed Director of the Department of Youth Treatment & RehabUitation has
formulated a plan to create a new position within the Agency Onstitutional Management Services Manager)
that will have overall responsibUIty for all Institutional maintenance and be responsible for managing the
Maintenance Departments at all of the Agency's Institutions. It is envisioned that this Individual will also
manage all accounting, purchasing, warehouse, maintenance, food service and personnel functions at the
Agency's institutions.
DYTR - 45
Impact
Failure to maintain a backlog system of maintenance projects and work to be completed makes
It difficult to:
• Prioritize the work necessary to proper1y maintain the institutions
• Accurately determine the necessary dollar amount to budget for Institution maintenance
• Measure performance of the maintenance departments at each Institution.
Furthermore, having a backlog system that lacks an estimate of how much time is expected to be
consumed by each project or Work Order makes It difficult to:
• Determine appropriate staffing leVels
• Accurately determine reasonable daily work assignments.
Failure to develop and diligently use an adequate Preventive Maintenance system has contributed
to the generally poor condition of the institutions of the Department of Youth Treatment & Rehabilitation.
This results in higher maintenance costs due to equipment failure and downtime of required systems. Youth
health and safety issues have also been negatively impacted In the past ( air conditioning and fresh water
delivery systems) by the lack of proper maintenance techniques.
The significant use of outside service providers to perform maintenance work at the Adobe
Mountain and Black Canyon Institutions has resulted from one of two situations. Either the current
maintenance staff does not have the skills necessary to maintain the facilities or the maintenance staff is
not being utilized effectively. In either case, the result is an unnecessarily high cost to maintain these
Institutions.
Recommendation
We concur with the Director's plan to create a new position of Manager of Institutional Management
Services. We recommend that this individual assume the duties previously performed by the now vacant
DYTR - 46
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BuDding Plans Coordinator I position. This newly created position should also provide the management
framework and performance expectations for the maintenance function at all of the Agency's institutions.
Each institution should then have a working maintenance Leadperson reporting to the Manager of
Institutional Management Services, but coordinating activities with the management team of the institution.
This Leadperson will be responsible for prioritizing, making and following up on daUy work assignments for
each of the Maintenance Technicians as well as spending 80- 90% of the day performing maintenance work.
Prioritization and assignment of large scale projects will be made by the Manager of Institutional
Management Services. If possible, this position should be filled from within the Agency.
We recommend that the Manager of Institutional Management Services develop and implement a
Maintenance Backlog System for each institution as soon as possible. This backlog should consist of all
maintenance projects that are currently necessary to be performed in order to bring the physical state of
each institution up to an acceptable level. " Acceptable" level of maintenance should be judged in terms of:
• Health and safety of the juveniles
• Health and safety of the staff
• Cost effective maintainability of the institutions
The backlog system should have an " estimated time to complete" associated with each project and,
wherever possible, a cost estimate as well. The projects on the backlog system should then be used, in
conjunction with the Work Orders that are received, to create the daily work assignments for the
Maintenance Technicians.
We also recommend that the Manager of Institutional Management Services ensure that a
Preventive Maintenance system is developed, installed and property administered at each of the institutions.
In order to reduce the dependence on outside maintenance contractors, we recommend that a
" SkUls Matrix" be developed for each of the Agency's Institutions. This matrix should list all of the skills that
are necessary to property maintain each of the Agency's institutions. It should also list all of the skills that
are currently resident in each of the Maintenance departments. To the extent that certain required skills are
not currently resident within the Agency, we recommend that one of two options be pursued:
DYTR - 47
• Arrange for necessary training for the current Maintenance Technicians
• Replace the current maintenance staff with appropriately skUled Maintenance Technicians.
We recommend that the Physical Plant Supervisor III position at Adobe Mountain be eliminated after
the Manager of Institutional Management Services Is brought on board.
We also recommend that the one Clerk Typist I position at Adobe Mountain be eliminated.
Benefit
Transferring responsibility for all institution maintenance to one Individual will result In:
• A degree of continuity of maintenance service that has not existed previously
• Better coordination of Agency- wide maintenance resources
• A greater ability to manage and appropriately allocate the Agency's maintenance budget
• Better accountability for the performance of the institution's maintenance departments.
Creating a properly administered Preventive Maintenance program will result in:
• Longer life of the Institution's physical plant, buildings and related systems
• Reduced repair and replacement costs
• Enhanced maintainability of the institution's systems
• Greater up- time for those systems that relate to the health and safety of the juveniles.
DeVeloping and properly administering a Maintenance Backlog System will enable the Manager of
Institutional Management Services to:
• Accurately determine the necessary dollar amount to budget for Institution maintenance
DYTR - 48
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• Accurately determine the necessary dollar amount to budget for institution maintenance
• Determine appropriate staffing levels
• Prioritize the work necessary to proper1y maintain the institutions
• Accurately determine appropriate dally work assignments
• Measure performance of the maintenance departments at each institution.
Developing and proper1y using a Maintenance Skills Matrix wUl enable the Manager of Institutional
Management Services to:
• Objectively evaluate the maintenance skills currently resident within the Agency
• Appropriately deploy those skills to maintain the Agency's institutions
• Provide for training to enhance and augment the current skill base
• Replace inappropriately skilled personnel where necessary
• Use outside maintenance contractors on a more selective basis than is currently being
done.
We believe that it should be possible to reduce the current dependence on outside maintenance
contractors by at least 50% which would result in annual savings of approximately $ 50,000.
Eliminating the one Physical Plant Supervisor III position will result In annual salary savings of
$ 34,559 and ERE savings of $ 9676 for a total labor savings of $ 44,235.
Eliminating the one Clerk Typist position will result In annual salary savings of $ 12,792 and ERE
savings of $ 3581 for a total labor savings of $ 16,373.
The total comblnoo & avlngs that wiU resutt from thass recommendations is $ 110,608 ($ 16,373 +
$ 44,235 + $ 50,000).
DYTR - 49
Implementation
• Recruit Manager of Institutional Management Services from within the Agency ( If possible)
to avoid adding unnecessary staff
• Develop Maintenance Skills Matrix
• Evaluate the skills of the current Maintenance Technicians
• Replace Technicians as necessary
• Develop, Install and administer Preventive Maintenance Program
• Develop, Install and administer Maintenance Backlog system
• Eliminate Physical Plant Supervisor iii position
• Eliminate Clerk Typist position.
DYTR - 50
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ALAMO MENTAL HEALTH FACIUTY
Current Situation
Those jLNenUes committed to the Department of Youth Treatment & Rehablltatlon that are deemed
to be In need of mental health treatment are assigned to the Alamo Institution In Phoenix. This quite old,
very rundown Institution Is currently being run by approximately 45 staff members and usually houses
between 20 and 30 jLNenUes at any given time.
The Department of Youth Treatment & RehabUltatlon currently pays $ 70,000 per year to rent the
Alamo facility. An additional $ 95,330 Is spent for repair, maintenance, utilities and related operating
expenses for a total outlay of $ 165,330 per year to operate this facility.
The institution at Black Canyon that is used to house girls that are committed to the Department
of Youth Treatment & Rehabilitation consists of two cottages, each with a capacity of 60 youth. Although
both of the cottages are relatively new and In excellent condition, the number of girls that are currently
institutionalized ( typically between 40 and 50) only warrants the use of one cottage. The other cottage is
locked and sits vacant.
The new Director of the Department of Youth Treatment & Rehabilitation has proposed closing the
Alamo facility and moving those jLNeniles currently housed at Alamo to the one vacant cottage at Black
Canyon. The three primary reasons for his proposal are:
• The youths would be housed In a physically safer, cleaner and healthier facility than is
currently available at Alamo
• There are substantial dollar savings associated with closing Alamo and moving the
jLNenlles to Black canyon. These savings consist of:
Elimination of the annual rental charge
Elimination of the ever increasing operating expenses
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Reduction of duplicate staff.
.~ Batter t. 1: lIizatlon of the Black Canyon facUfti.
DYTR - 51
Impact
The Budget Office of the Department of Youth Treatment & Rehabilitation has performed a cost
analysis detailing the potential savings that could be realized from closing the Alamo facUlty and moving the
jwenUes to the vacant Black canyon cottage. The savings consist of the following components:
• Elimination of rent and operating expenses at Alamo
Gross reduction of $ 165,330 per year
• Incremental additional cost of opening and operating the second Black canyon cottage
Gross additional cost estimated to be $ n, 270 per year
Annual gross savings of $ 165.330 less additional gross annual cost of $ n, 270
results in a net annual savings of $ 88.060 for rent and operating expenses
• Elimination of those Alamo staff positions that are currently duplicated at Black canyon
and would not need to be replaced If the Alamo facility was absorbed by the Black Canyon
operation. If the same number of juveniles that are currently housed at Alamo were moved
to Black canyon. approximately 28 staff members would need to be moved from the
Alamo facility to Black canyon and 17 positions could be eliminated. These position
eliminations would result in an annual savings of approximately $ 570.086. If the number
of juveniles requiring mental health treatment were increased after the move to Alamo. the
savings outlined above would be decreased somewhat due to the additional staff that
would be required.
Therefore. continuing to operate the antiquated facUity at Alamo results in an estimated additional
cost to the Department of Youth Treatment & Rehabilitation of $ 658.146 per year ($ 88.060 for rent and
operating expenses plus $ 570.086 for salary and 28% ERE =$ 658.146).
Recommendation
We concur with the Director's proposal to close the Alamo facility and movethe youth housed there
to the vacant Black canyon cottage. We recommend that this proposal be acted upon at the earliest
possible opportunity to take full advantage of the potential savings.
DYTR - 52
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We also concur with the Director's proposal that the 17 duplicate staff positions be eliminated when
the Alamo facUlty is closed. Once again, this staff reduction assumes that the number of jwenKes requiring
mental health treatment would remain constant We recommend deVeloping a staffing algorithm that would
enable the Black Canyon management to determine the appropriate staffing level as the jwenUe population
Increases or decreases.
Benefit
The potential benefits that can be realized by the Department by closing the Alamo facUlty Includes
the following:
• Provision of a safer, cleaner, heaJthler and more cost effective facility for those mental
health youths currently committed to the care of the Department of Youth Treatment &
RehabUltation
• Elimination of rent and operating expenses at Alamo ($ 165,330 per year) less the additional
cost of opening and operating the second Black Canyon cottage ($ n, 270 per year) will
result in a net annual savings of $ 88,060
• Elimination of 17 Alamo staff positions that are currently duplicated at Black Canyon and
would not need to be transferred If the Alamo facility was absorbed by the Black Canyon
operation will result in a net annual savings of approximately $ 570,086. The positions that
can be eliminated ( assuming the juvenile population remains the same as today) and the
annual dollar savings associated with each position are:
( Dollar figures shown include 28% ERE)
Accounting Technician ($ 25,067)
Administrative Secretary II ($ 22,384)
BuDding Maintenance Tech III ($ 31,441)
Business Manager ($ 29,744)
Chaplain ( cost for eliminating this Chaplain position has already been accounted
for in the previous CHAPLAIN SERVICES Recommendation)
Clerk Typist!! ($ 21.025)
Correctional Medical Assistant ($ 34,668)
DYTR - 53
Correctional RN Supervisor II ($ 44,019)
One Correctional Registered Nurse ($ 41,922)
Two Correctional Registered Nurse ($ 41,922)
Three Correctional Registered Nurse ($ 29,744)
Physical Plant Supervisor II ($ 31,709)
Psychologist II ($ 40,710)
One Psychology Associate II ($ 30,191)
Two Psychology Associate II ($ 30,191)
Storekeeper ($ 23,750)
Superintendent ($ 54,400)
Training Officer ($ 37,199)
Total annual savings associated with eliminating these duplicate staff positions is $ 570,086.
Implementation
• Inspect vacant Black Canyon cottage and determine whether the Maintenance Department
needs to take any action to ensure that the cottage is serviceable and ready to be
Inhabited
• Complete necessary maintenance items ( if required)
• Determine which individuals will be transferred from the Alamo facility to Black Canyon
• Develop staffing algorithm to determine appropriate staffing level
• Develop plan to physically transfer juveniles from the Alamo facUity to Black Canyon
• Develop " shutdown plan" for Alamo facUity to ensure that the building and grounds are
vacated and shutdown In a safe and orderly manner.
DYTR · 54
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CENTRAL OFFICE PROCUREMENT & FIELD PROCUREMENT
Current Situation
The purchasing functions at Catalina Mountain are currently handled In a decentralized fashion with
the various department heads ( Administration, Mainteriance, Warehouse, Vehicle Maintenance, Cottage
Supervisors and Food Services) completing a Purchase Requisition after reviewing the state contract listing
or consufting with known vendors. If the goods to be purchased are not covered under a state purchase
agreement and will cost more than $ 500 ( but less than $ 2500), at least three vendors are contacted to obtain
competitive pricing for the goods. After a vendor has been selected, the Purchase Requisition is sent to the
Business Manager for review and approval. If the Items to be purchased are less than $ 2500 or are covered
under a state purchase agreement, the Business Manager ( or the department head in some cases) will place
the order directly with the vendor. When the purchase Is greater than $ 2500 ( but less than $ 10,000), the
Purchase Requisition Is sent to the Procurement group at the Agency's Central OffIce for processing.
Purchases greater than $ 10,000 are not handled at the Agency level but are sent to the State Procurement
OffIce for processing. Since the beginning of the current fiscal year on July 1, 1991, the Catalina Mountain
Business OffIce has processed 356 Purchase Requisitions or approximately 11 per week. No data was
available regarding the number of Purchase Requisitions over $ 2500 that were sent to the Central Office,
but we were told that these are minimal and rarely are Purchase Requisitions sent to Phoenix for processing.
The vast majority of Purchase Requisltinns are for routine Items and are handled out of the Business Office
at Catalina Mountain.
The Purchasing functions at Adobe Mountain and Black Canyon institutions are being handled in
a more centralized manner by one Buyer II physically located at Black Canyon and one Buyer Assistant
( currently vacant). The Buyer processes approximately 143 Purchase Requisitions each month or about 36
per week. The majority of these Requisitions are for either routine operating supplies that are purchased
on a regular, recurring basis or maintenance Items used to repair or maintain the facilities. In addition to
processing Purchase ReqUisitions, the Buyer also periodically creates Requests for Quotes ( RFQ) and
Invitations for Bk: Js OFB) when items costing more than $ 500 that are not on a state contract are being
purchased. No data was avaUabie on the number of RFQs or IFBs processed by this Buyer.
The Central Office Procurement function Is comprised of a Buyer III and a Buyer II. These two
Buyers combined process approximately 140 Purchase Requisitions per month or about 35 per week ( the
same number haridled by tha soia Buyer at Biack Canyon). These Buyers also prepare lFBs and RrCEo as
required. No data was available on the volume of RFQs or IFBs prepared by the Central Office Buyers.
DYTR · 55
In addition to the two Buyers In the central OffIce, there are two Contract Management Specialists
II, one Contract Management Specialist III, one Contract Management Supervisor, two Information
Processing Specialists II ( one of which Is vacant), one Administrative Assistant I and one Administrative
Secretary I ( currently vacant). These Individuals are responsible for:
• Creating and disseminating Requests for Proposals ( RFP) and Requests for Quotes ( RFQ)
for services requested by the various departments within the Agency
• Coordinating the evaluation and selection process after vendors have submitted their
proposals
• Maintaining the contract flies after a vendor has been selected ( this consists largely of
insuring that required insurance and licenses are kept current by the selected vendors).
Although there was no statistical data available to measure the performance or the volume of work
processed by this group, we were told that the two Contract Management Specialists II have processed a
total of seven RFPs since they began working with the Agency. One of the Specialists has been working
with the Agency since July 1, 1991 and has processed four RFPs and the other Specialist, who started on
September 1, 1991, has processed three RFPs. No data was available for the workload of the Contract
Management Specialist III or the Contract Management Supervisor.
The Contract Management Specialists reported that 85% of the work for which the Contract
Management group Is responsible comes from the Purchase of care group. The Purchase of care
department writes the specific program requirements for the services they desire and send these
requirements to the Contract Management Specialists. The Specialists then create an RFP or RFQ that
combines the specific program requirements provided to them with the standard state- mandated RFP
" boilerplate" paragraphs.
Impact
The catalina Mountain staff is to be commended for their apparent ability to manage the purchase
of goods in the decentralized manner currently being employed. One of the reasons that this system works
Is that each of the departments has been provided with the annual budget information for their area of
responsibility ( as mentioned Inthe Departmental Budget Responsibility point). This enables them to manage
the funds allocated to their area, to monitor the sums being spent and to determine whether there are funds
DYTR - 56
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avaUabie for the purchase of goods. It also provides the appropriate incentive to purchase goods at the
lowest possible cost. The other reason this decentralized system works is that the departments have been
provided with the names of the vendors that supply the goods they use. The departments are then able to
contact the vendors directly to ascertain avaHabUity. current pricing and delivery schedules. This is an
excellent example of placing the responslbHity for an activity at the lowest level that is appropriate for Its
efficient execution.
At both Adobe Mountain and the central Office, budget information is not made avaUable to the
department heads. This makes it impossible for the various departments to manage the funds allocated to
the areas and provides no Incentive to manage to a specific budget. Because the vendor information Is also
not available, it makes It Impossible for departments to have direct contact with the vendors that supply their
goods. Consequently, both the central Office and Adobe Mountain ( Black Canyon) are staffed with Buyers
to manage the purchasing functions when there is actually a very small volume of work to be processed.
The technical aspect of 85% of the RFPs issued by the Contract Management group ( purchase of
Care RFPs) is being created by the Purchase of Care department with only standard - boilerplate- RFP
language being added by the Contract Management Specialists. Maintaining a staff of three Contract
Management Specialists, a Supervisor and three clerical support staff ( one position Is currently vacant) does
not appear to be justified considering the small volume of work that is actually processed by this group.
Recommend. tion
We recommend that more of the routine items being purchased by the Institutions that are not
currently covered under a statewide purchasing agreement be Incorporated Into statewide purchasing
contracts. This task can be handled by the State Procurement Office in the Department of Administration.
This will facilitate the purchase of goods by the institutions and eliminate the necessity for going out for
competitive bids more than once per year.
We recommend that the Buyer II position and the vacant Buyer Assistant position at Black Canyon
be eliminated. The purchasing duties currently being performed by the Black Canyon Buyer should be
shifted to the various department heads and be performed in a manner slmUar to that which is currently
being conducted at the Catalina Mountain Institution. This process will become even more routine than It
currently Is after more of the regularty used items are covered under statewide purchasing agreements.
DYTR · 57
We recommend that the relatively small amount of RFP production currently being handled by the
Contract Management group be transferred to the State Procurement OffIce In the Department of
Administration. The various departments within the Agency that need to contract out for services ( primarily
the Purchase of Care group) should continue to prepare the detaUed contract requirements as they are
currently doing. However, they should be submitted to the State Procurement OffIce Instead of the Contract
Management group.
A performance monitoring system should be established to ensure that the State Procurement
OffIce provides the level of service required to meet the goals of the Agency. To the extent that the State
Procurement OffIce can provide the appropriate level of service. It should not be necessary to maintain an
entire Contract Management group within the Agency.
The one function of the Contract Management group that should remain the responsibility of the
Agency Is the monitoring of the licenses and Insurance of the vendors with which the Agency does business.
Now that a tracking system has been put Into place, this should not consume very much time. We
recommend that the proposed Internal Audit group assume this responsibility as one of the components of
their program review function.
Benefit
Transferring the responsibility for purchase of goods to the individual department heads at Adobe
Mountain and Black Canyon will enable the elimination of the two Buyer positions ( one of which is vacant).
Eliminating the currently filled Buyer position at Black Canyon will result In an annual savings of $ 25,466 and
not filling the vacant Buyer Assistant I position will result In annual savings of $ 19,880 for a total of $ 45,346.
Transferring the responsibility for RFP production and Contract Management to the State
Procurement OffIce in the Department of Administration will enable the elimination of the entire Contract
Management group. Eliminating the currently filled Contract Management department positions at the
central OffIce will result In an annual savings of $ 181,170 and not filling the two vacant positions will result
In annual cost avoidance of $ 38,414 for a total of $ 219,584.
The total combined savings of these recommendations Is $ 264,930.
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Procurement Offlcs
• Assign responslbUIty for negotiating all service contracts and other purchases to the State
$ 15,531 + 28% ERE ($ 4349) = $ 19,880
$ 38,068 + 28% ERE ( 10,659) = $ 48,727
$ 19,895 + 28% ERE ($ 5571) = $ 25,466
$ 25,182 + 28% ERE ($ 7,050) = $ 32,232
$ 26,403 + 28% ERE ($ 2,112) = $ 28,515
$ 24,065 + 28% ERE ($ 6,738) = $ 30,803
$ 15,531 + 28% ERE ($ 4,348) = $ 19,879
$ 15,330 + 28% ERE ($ 4,292) = $ 19,622
$ 14,481 + 28% ERE ($ 4,054) = $ 18,535
$ 16,618 + 28% ERE ($ 4,653) = $ 21,271
• Train department and Bureau managers to more fully administer the requisition of goods
and services that are reqUired by their areas of responslbUIty. This wUl Include, In some
cases, routine contacts with appropriate vendors
Buyer Assistant I ( vacant):
One Contract Management Supervisor:
Buyer II:
One Contract Management Specialist III:
• Determine which routinely purchased goods not currently on state contract can be
Incorporated Into a state purchasing agreement
Two Contract Management Specialists II:
Two Information Processing
Specialists II ( vacant):
One Administrative Secretary I ( vacant):
One Administrative Assistant I:
Black Canyon
Centra! OffIce
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•
•
Develop a simple performance monitoring system to ensure that the SPO handles the
Agency's purchasing needs In an effective and efficient manner
Transfer responsiblity for monitoring the licenses and Insurance coverage of outside
vendors to the proposed Internal Audit group.
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JUVENILE RECORD MAINTENANCE
Current Situation
When a youth enters the custody of the Agency, a file Is created to receive and store all of the
records pertaining to the youth's Case Management. These records can consist of such documents as:
• Commitment documents
• Court documents
• Incident Reports
• Monthly Summaries
• Outside Service Reports
• Diagnostic Reports
• Psychology Reports
• Chronos.
There are currently at least three copies of each file ( a Master File and a Purchase of Care File
maintained in the Central Office in Phoenix and a Field FOe maintained at the institution where the youth is
IMng). In some cases, a fourth file Is created for the Parole Officer.
Approximately 88% of the documents that are contained within the flies are handwritten by the Case
Workers. Case Managers, Psychologists or Parole OffIcers. A small number of these documents are placed
directly into the Field FHe in handwritten fonn while the majority are forwarded to the Records Oerks In the
Institution to be typed. After the documents have been typed, they are returned to the originator for review.
In many cases, the originator edits the typed copy and returns It to be retyped. After the document meets
the satisfaction of the originator, It Is copied so that the other flies ( Master FHe and Purchase of C. are File)
can receive a copy of each document ( any documents that were not typed are also copied for the other
DYTR - 61
fUes). The original Is then fUed In the Field FUe and the copies are forwarded to the central Office to be filed
In the two flies which reside there. Approximately 12% of the documents that are placed in a youth's file
are created by being dictated and then typed by one of the Records Room personnel rather than being
handwritten by the originator. In a very few cases, the documents are typed by the originator.
The central Office FUe Room Is staffed with two CorrectIonal Records Clerks who are responsible
for receMng and filing all of the copies that are sent from the Institutions. In addition, they are responsible
for maintaining the flies for youths that have been released from the Institutions but have not yet reached
the age of 23. When a youth that has been released from one of the juvenUe correctional Institutions
reaches the age of 23 and has not been referred to an adult correctional Institution, their record Is destroyed
by the central Office. If the youth has been referred to an adult institution prior to reaching the age of 23,
the record is forwarded to the Department of Corrections.
Adobe Mountain has a Records Room that is currently staffed with two Record Clerks II, one Clerk
Typist II, two Information Processing Specialists II and two Information Processing Specialist I ( one position
is vacant). These Individuals are supervised by one Correctional Records Technician. One of the Records
Clerks has been on maternity leave since January 1992 and one of the Information Processing Specialists
has been on medical leave since February 1992.
Black Canyon has a Records Room that is currently staffed with one Correctional Records
Technician.
Catalina Mountain has a Records Room that is currently staffed with one Correctional Records
Technician and two Clerk Typists II.
The Records Room staff are responsible for:
• Creating new files on Incoming juveniles
• ReceMng all incoming documents
• Typing all documents as directed by the Case Workers, Case Managers or Parole Officers
• Updating juvenile information in the AIMS automated tracking system
DYTR - 62
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• Sorting the incoming mall
• Reception duties ( catalina Mountain only).
' mPlet
There are several negative aspects to administering the jLNenUe files in the manner described
above. Among these are:
• Maintaining more than one file on each jLNenUe within the system has resulted in none of
the fOes being completely accurate. It was reported to us that it Is a common occurrence
for documents to be found in one of the youth's fOes but not in the other files.
Consequently, anyone reviewing one of the files can not be certain that all of the
documents are present in the file they are using. Additionally, the need to maintain several
fOes on each youth ( Field FUe, Master FUe and Purchase of care File) has resulted in a
larger than necessary staff at Adobe Mountain and catalina Mountain ( to copy and forward
documents to the Central Office) and at the Central Office ( to receive, fOe and maintain the
documents sent from the institutions)
• Requiring the documents in the jLNenlle's file to be typed rather than handwritten ( or
entered into a Personal Computer and printed by the originator) has resulted in the need
to have a staff of Information Processing Specialists and Typists at Adobe Mountain and
catalina Mountain.
Recommendation
We recommend the following changes in the maintenance of JLNenlle records:
• Only one fOe should be maintained on each youth. The file should be maintained at the
Institution by the case Managers and case Workers who are assigned to the youth ( rather
than in a central Records Room). The ties should be maintained In the secure cottage
office where the case Managers and Workers are assigned.
DYTR - 63
•
•
•
•
The only records that should be maintained at the Central OffIce are those of juvenUes who
have been released from the Agency's Institutions.
The Central OffIce Record Room should be staffed with only one person Instead of the
current two people. This Clerk should be responsible for:
Maintaining the records of those juvenUes who have been released from the
Agency's Institutions
Forwarding to the Institutions for Insertion into the youth's file any documents
received from outside sources such as courts, pollee agencies, etc.
When a juvenile Is committed to an institution the Case Manager assigned to that youth
should be responsible for creating the original file and Inserting the appropriate
documentation as it is generated. As the various Case Workers or other Agency personnel
create documentation that Is to be Inserted in the file, they should do so In Its final form,
I. e., In either a legible handwritten form or In a typed form and insert It directly into the
juvenUe's file. The preferred method would be to enter the data directly into a Personal
Computer and print the results for inclusion in the juvenHe's file. Some of the cottages are
currently equipped with Personal Computers. For the Case Workers assigned to cottages
that are not so equipped, they should use one of the PCs In the institution administration
building.
Transferring the responsibility for file maintenance to the Case Managers and Case
Workers wUl eliminate the need to have a staff of Clerk Typists and Information Processing
Specialists at the Institutions to type the handwritten documents that are currently being
submitted to them. The Institution's Record Room should be responsible only for:
Receiving documents from outside sources or the Central OffIce
Forwarding these documents to the Case Managers for Insertion Into the youth's
tHe
Miscellaneous clerical functions ( mall handling, reception duties, etc.)
DYTR - 64
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We recommend that the Institutions Records Rooms be staffed as follows:
Benefit
• Greater accuracy of the one remaining file
• Elimination of the extra steps and personnel currently Involved In record preparation,
typing, filing and maintenance
DYTR · 65
one Records Technician
one Records Technician
one Records Technician
5 Oerk Typists II' $ 7315 + 28% ERE ($ 2048) = $ 9363
Catalina Mountain:
Adobe Mountain:
Black Canyon:
•
•
•
• Elimination of 8.5 unnecessary staff positions that are currently fUled for an annual savings
of $ 156,543 and one currently vacant position for an annual savings of $ 17,341 resulting
In total annual savings of $ 173,884 as shown below.
Adobe Mountain
We also recommend that the Agency continue to pursue the more long term goal of automating
the entire file maintenance process. The only aspect of file maintenance that Is currently automated Is the
AIMS tracking system. This is nothing more than a location tracking device and serves a very limited
purpose for the Agency. Most of the treatment and historical data contained within each youth's file can
be entered and stored electronically rather than In the current manually generated paper format. We
understand that automating the Agency's youth file system Is one of the goals of the recently confirmed
Director and we concur in this approach.
Eliminating the duplication of files and transferring the responsibility for record maintenance to the
Case Managers and Case Workers will result In the following benefits:
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OYTR - 66
Eliminate the Centra! Office Records Room ( open flies only).
Install secure file cabinets In the Case Managers and Case Workers office In each Cottage
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$ 14,481 + 28% ERE ($ 4,054) = $ 18,535
$ 13,548 + 28% ERE ($ 3,793) = $ 17,341
$ 14,000 + 28% ERE ($ 3,920) = $ 17,920
$ 13,548 + 28% ERE ($ 3,793) = $ 17,341
( vacant)
$ 16,294 + 28% ERE ($ 4,562) =$ 20,856
$ 16,020 + 28% ERE ($ 4,485) = $ 20,505
$ 13,548 + 28% ERE ($ 3,793) =$ 17,341
$ 13,548 + 28% ERE ($ 3,793) = $ 17,341
$ 13,548 + 28% ERE ($ 3,793) =$ 17,341
Two Correctional Records Clerks:
Two Information Processing Specialists I:
Two Information Processing Specialists II:
One Correctional Records Clerk:
Two Clerk Typists II:
Ensure that all Case Managers and Workers are trained In the use of Personal Computers
where PCs have been Installed for their use
Revise file maintenance procedures to eliminate the typing and tHing responsibUltles of the
current Records Room staff
Install PCs In those cottages where they are not currently avaUabie for use by Case
Managers and Case Workers ( to the extent possible within the current budget)
•
•
•
•
•
Centra! Office
Catalina
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PEPARTMENTAL BUDGET RESPONSIBIUTY
Current SltuttiOn
The annual Department of Youth Treatment & RehabUltation budget that Is created each year by
the Agency's Budget Officer and staff for use by the Central Office and the institutions Is allocated among
the ten following categories:
• Personnel services & ERE ( Employee Related Expenses)
• Professional & Outside Services
• Travel- In- State
• Travel- Out- of- State
• Other Operating Expenses
• Equipment
• Food
• WIPP ( Work Incentive Pay Program)
• Purchase of Care
• Governor's Task Force.
The funds In these broad categories are then divided among the various entities within the Agency.
The entities among which the Agency's funds were divided for the current fiscal year are:
• Director's Office
• Operations
Administration
DYTR - 67
Adobe Mountain
Alamo
Ironwood
Black Canyon
Catalina Mountain
Youth Services Bureau
• Support Division
Administration
Health Services
Training
Agency Support
• Education.
It Is then the responsibility of each of the entities listed above to allocate and manage their annually
budgeted funds to administer the activities of their Bureau or Institution. No further guidance or monthly
breakdown of the budget is provided.
No monthly breakdown of expenses Is provided by the Budget OffIcer or the Accounting and
Finance Bureau. Although the Budget OffIcer does issue a Budget Analysis Report. no monthly data is
available on this report. It reports only year- tCHiate expense figures and a percentage reflecting the percent
of the total annual allocation that has been spent year- tCHiate.
The Business Manager at Catalina Mountain allocates the Other Operating Expenses portion of the
Catalina Mountain budget to the eighteen various functional areas of responsibUity within the institution
based on past spending history and anticipated needs for the future year. He then provides the department
Supervisors and Managers of the Institution with an annual budget figure. They are then expected to
manage the budget for their respective areas. This process Is not followed at Black Canyon and Adobe
Mountain. The Business Manager at Black Canyon ( who Is also responsible for Adobe Mountain) controls
the entire Other Operating Expenses portion of the budget from the Business OffIce. As Purchase
Requisitions or Invoices are received in the Business OffIce. she decides If there are funds available for the
expenditure. This decision is not made based on the funds avaUabie for a particular department but rather
whether there are funds available in the Other Operating Expenses category for the Institution as a whole.
DYTR - 68
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ImQlet
The budget categories that are currently used to allocate and report Agency costs are far too broad
to manage the Agency and the departments within the Agency. Without a further breakdown of several of
the categories ( Other Operating Expenses and Equipment for example), It Is Impossible for the Bureaus to
property plan their activities and expenditures for the year.
The lack of a monthly report that shows the monthly expenditures compared with planned monthly
expenditures makes It Impossible to monitor progress against the annual budget on a monthly basis.
Although the current report does show t" 9 percentage of the annual budget that has been expended, It Is
not readUy apparent ( without performing additional calculations) how much was actually spent during the
current month, whether this compares favorably with previous months or whether spending Is on track for
the year. This makes It very difficult for the Bureau managers to manage the costs of their Bureau.
The budget allocation process followed by the Business Manager at Catalina Mountain is an
excellent example of placing the responsibUIty for an activity in the hands of the lowest level of management
that is appropriate for its efficient execution. When the various department supervisors and managers are
aware of the amount of their annual budget from the beginning of the year, they are better able to plan the
activities and expenditures of their department throughout the course of the year. Without this information,
It is impossible to plan and manage the expenses of a department. Additionally, It Is unrealistic to expect
someone that is not intimately involved in a department on a day- tCHiay basis to be aware of the specific
needs and priorities of that department.
Recommend. tion
We recommend that the broad budget categories that are currently being used by the Agency to
allocate the annual budgeted funds be subdivided into smaller, more manageable categories such as those
represented by the Index and Sub- Index codes of the STARS system. In some cases, these will represent
too great a breakdown. However, in many cases, these should provide the appropriate level of detail
required to manage the specific Bureaus and institutions.
Additionally, we recommend that a more useful monthly reporting tool be developed that provides
the Bureau and institution managers with the visibility of:
DYTR - 69
• Monthly expenses compared with the monthly plan
• Year- to- date expenses compared with the year- to- date plan.
We also recommend that the system being followed at catalina Mountain that enables each
department supervisor and manager to administer their own departmental budget be Implemented at the
Central Office and at the other Agency's Institutions.
Benefit
Implementing the recommendations listed above will provide the foIiowing benefits:
• Provide the individual Bureaus and Institutions with the appropriate tools to manage the
funds allocated to their areas
• Enhance the ability of the Bureaus and institutions to properly plan their activities and
expenditures for the year
• Enable the Bureaus and institutions to monitor their progress against the annual budget
on a monthly basis
• Places the responsibility for managing the funds allocated to a specific Bureau or
department in the hands of those who are actually managing the activities of the Bureau
or department.
Implementation
• Develop appropriate budget sUb- categories that can be used to manage on an individual
bureau and department basis
• Create a reporting tool that provides greater visibility of spending patterns on a monthly
basis
• Assign budget accountability responsibility to Individual department management.
DYTR - 70
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PERFORMANCE REPORTING
Current Situation
During the course of our review of the Department of Youth Treatment & RehabUltatlon, we noted
that virtually none of the departments had any type of performance monitoring or reporting system in place.
This was first made evident during the Interviews that were conducted when almost none of the staff
members or their supervisors and managers had any Idea of the volume of work that was being processed
In their areas. The only exceptions were the Accounting and Finance department and the Procurement
department In the Central Office. These two areas have recently Installed a system to begin collecting
statistics regarding the daUy volume of work being processed In their departments. Although this collection
of statistics Is not, in Itself. a Performance Reporting system, It can serve as the basis for developing such
a system for these departments. However. no other departments. either at the Central Office or at the
Institutions, have any simUar system in place.
Impact
Failure to administer a Performance Monitoring and Reporting System renders It impossible for
management to:
• Gather data on the volume of work being processed
• Compare the relative performance of:
employees
simUar time periods
offices at the Institutions
• Determine If staffing levels are appropriate for the volume of work being processed
• Identify areas of their departments that could be improved
• Determine If performance Is Improving or deteriorating
DYTR - 71
• Identify areas where employee training may be required
• Effectively and objectively evaluate the performance of their staff.
Recommend, tlon
We recommend that an Agency- wide Performance Monitoring and Reporting System be developed
and Installed In ali Bureaus and departments at the Central Office and all of the Institutions. Key
components of the system should Include:
• Gathering of daily statistical data on the volume of work being completed In each area
• Development of standards that will provide guidance to management regarding the volume
of work that can be expected to be performed each day
• A simple method to compare the established standards with the actual daily results
• Active use of the dally data to manage the work of each area.
Benefit
Installing a Performance Monitoring and Reporting System will provide the following benefits to the
Agency:
• Enable management to compare the relative performance of their employees
• Enable management to identify work volume trends and compare performance for similar
time periods
• Provide management with the ability to compare the relative performance of simUar offices
at the various institutions
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• Enable management to determine If staffing levels are appropriate for the volume of work
being processed
• Enable management to identify areas of their departments that need improvement
• Enable management to determine If performance Is Improving or deteriorating In their areas
• Enable management to effectively and objectively evaluate the performance of their staff.
Implementation
• Develop a tool for collecting dally statistical data for each work area
• Develop standards for daUy performance In each work area
• Train staff members to use the tools
• Train department and Bureau managers to use the system to evaluate individual and group
performance.
DYTR - 73
DEVELOP MIS STRATEGIC PlAN
The various Bureaus and correctional Institutions of the Department of Youth Treatment and
RehabUltatlon are currently using several different automated systems to conduct the day- lo- day operations
of the Agency. These systems Include:
• AIMS: This Department of Corrections system Is used solely to track the movements of
the juvenUes that are Incarcerated In the Agency's Institutions. It does not have the ability
to maintain any Information regarding:
The cost to maintain a youth within the Agency's system
The treatment programs that are being administered for the Incarcerated juveniles
Any historical data regarding the treatment ajuvenDe has received or the progress
that has been made whUe the juvenile was Incarcerated
Services received from outside agencies or placement centers
• STARS: The Standard Accounting and Reporting System ( STARS) Is used by the
Department of Youth Treatment and RehabUltatlon to record all accounting transactions
executed by the Agency. The STARS system Interfaces with the AFIS system which Is a
separate and distinct accounting system used by the Department of Administration. The
STARS system was Installed because AFIS did not provide the abUIty to track the detailed
cost Information desired by the Agency. AFIS II, which Is supposed to be able to provide
more detailed Information, Is scheduled to be released later this year. It Is anticipated that
STARS will be able to be replaced by AFIS II. This replacement wUl eliminate the need to
perform the monthly reconcUlatlon of the data contained within STARS and AFIS.
• AFIS: This Is the Department of Administration accounting system with which all state
agencies Interface. The Department of Youth Treatment and RehabBltation Accounting
group does not actually enter any data into this system. However, they receive printouts
from AFIS that are used to reconcle the data entered Into STARS ( by the Agency) and
data entered In ( or downloaded to) AFIS by the Department of Administration. This system
Is scheduled to be replaced with a new version ( AFIS II) sometime tater this year.
DYTR - 74
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~: This Is an automated system owned and operated by Maricopa County. Although
the Department of Youth Treatment and RehabRltation has the abUity to access the data
contained within this system, they do not have the abUity to enter any data or manipulate
the data In JOLTS. The JOLTS system was designed specifically for juvenUe corrections
( as opposed to adult corrections) and provides much more ussfUI Information to the
Agency than does the AIMS system.
PURCHASE QF CARE SYSTEM: This Is a stand- alone system developed by the Purchase
of Care group to enable the Agency to track and monitor the cost of maintaining a juvenile
In outside placement centers as well as provide historical data regarding the service
providers and the services provided to the juvenHes. It was designed to contain many of
the same data elements as JOLTS so that downloading of Information from JOLTS to this
system would be possible. Although the design and development of this system Is
complete, It Is not actually up and running yet. Historical service provider and juvenile
information is currently being loaded Into this system so that It can be used In the near
future.
LAN system: Several Local Area Networks have been Installed throughout the Agency.
There are five separate LANs at the following locations:
Adobe Mountain
Black Canyon
Catalina Mountain
Central Office
Purchase of Care ( physically located at the Central Office but separate from the
main Central Office LAN)
These LANs provide the users with the ability to access and use the following software:
Word Perfect
Quatro Pro
Paradox
Novel Btrleve ( purchase of Care system only)
DYTR - 75
The users of the five LANs do not currently have the abllty to access and share data among the
networks because they are not connected to each other.
There are Personal Computers connected to the LAN In all of the Central OffIce bureaus that have
a need to access the system. All of the Business OffIces at the Institutions also have Personal Computers
that provide them with access to their LAN. Some of the cottages at the Institutions also are equipped with
personal computers.
Although no fonnaIlzed MIS department exists within the Agency, there are three staff members
that provide MIS services to the Agency's user popWltIon. One Individual provides technical and user
support for the LANs In the Central OffIce as well as at the Institutions. One other Individual provides user
software support and training. Another Central OffIce staff member provides user support for the S1ARS
system, maintains the S1ARS programs and initiates the daUy batch processing that is necessary with the
S1ARS system.
The Interviews that were conducted within the Agency revealed that there Is no centralized MIS
planning or coordination between the Central OffIce and the Institutions. There Is also very little coordination
between the various Bureaus at the Central OffIce. Most Importantly, no strategic plan for MIS services has
been developed for this Agency. Each department and institution has been relatively free to formulate and
execute their own MIS plans and strategies. The only apparent constraints on the various bureaus have
been budgetary In nature.
The lack of a coordinated Agency- wide strategic plan for MIS services has resulted in, and will
continue to contribute to, several negative impacts on the Department Among these are:
• Each Bureau and Institution wUl continue to attempt to formulate their own plans without
proper guidance and expertise
• The various plans that wUl be formulated wBl not take Into account what other Bureaus and
Institutions are planning In regard to MIS matters which wUllead to duplication and overlap
of systems
DYTR - 76
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• No centralized planning and allocation of resources ( both staff and budget) for MIS needs
can be made without a strategic plan
• Scarce budget resources will be fragmented and possibly wasted as the Individual Bureaus
and institutions pursue their own plans
• Without the framework of a strategic plan, It Is Impossible to:
Establish realistic Agency- wide MiS priorities and balance the needs of the various
Bureaus and Institutions
Establish a realistic and reasonable MIS budget
Appropriately assign MIS staff.
Recommendation
We recommend that an MIS Strategic Plan be developed by the Director, Deputy Director, Assistant
Director Support Services and other key Agency personnel to be selected by the Director. Other key
personnel should be selected to represent the needs of the following areas:
• The Institutions
Case Management
Health Services
Business Office
Maintenance
Warehouse
• Purchase of Care
• Accounting and Finance
• Education
• Volunteer Services
• Training Services.
DYTR - n
Unt. the Strategic Plan has been formulated and finalized, no further MIS systems should be
planned, developf! ld or Installed. This Includes the Purchase of Care system that has been recently
developed. A decision will need to be made whether the Purchase of Care system will fit Into the needs of
the Agency before proceeding further with It. If It Is decided to proceed with the Purchase of Care system,
plans wli need to be made about how It will Interface with other Agency syste

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STATE OF ARIZONA
PROJECT S. LI. M. REPORT ON THE
DEPARTMENT of YOUTH TREATMENT & REHABIUTATION
JlJy 2, 1992
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DEPARTMENT OF YOUTH TREATMENT & ReIABIUTATlON
PRO. ECfSUM
TABLE OF CONTENTS
EXEClJTIVE SlJMMARY ..................................................••....... 1
RECOMMENDATIONS
Central OffIce Payroll 27
Combine Central OffIce Accounting Functions .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
Chaplin Services 34
Institution Business OffIce Accounting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
Institution Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
Alamo Mental Health Facility 51
Central OffIce Procurement & Field Procurement . . . . . . . . . . . . . . . . . 55
JwenUe Record Maintenance ...•.........•...•............................. 61
Departmental Budget Responsiblity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
Performance Reporting '.' . . . . . . . . . . . • . . . . . . . . . . . . . . . . • . . . . . . . . • . . . . . . . . 71
Develop MIS Strategic Plan 74
DEPARTMENT OF YOUTH TREATMENT & REHABlUTATION
PRO. ECTSUM
TABU: OF CONTENTS
( ContInued)
EXHIBITS
1 IntervieIN Ust 15
2 DYTR Summary of Savings 17
3 Central OffIce Business/ Finance Administration,
Present Organizational Structure 18
4 Central Office Business/ Finance Administration,
Proposed Organizational Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
5 Chaplain Services, Present Organizational Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
6 Chaplain Services, Proposed Organizational Structure 21
7 Adobe Mountain/ Black Canyon Business OffIce,
Present Organizational Structure 22
8 Adobe Mountain/ Black Canyon Business Office,
Proposed Organizational Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
9 JuvenUe Record Maintenance, Present Organizational Structure 24
10 JuvenUe Record Maintenance, Proposed Organizational Structure 25
11 Implementation Schedule 26
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July 2, 1992
Mr. John R. Arredondo
Director
Department of Youth Treatment & Rehablltatlon
1624 West Adams
Phoenix, Arizona 85007
Dear Mr. Arredondo:
The Governor's Project SUM review of your agency has been completed and we are pleased to
present you with this summary of our findings and recommendations. The study was Initiated on February
24, 1992 and the field work was completed approximately April 6, 1992.
This summary restates the objectives of the review, the approach which was used and highlights
the major changes recommended as a result of the study. It quantifies the potential benefits for your agency
and summarizes the key Implementation steps needed to convert the potential savings into actual benefits.
The summary is followed by the detaUed findings and recommendations.
In total, the recommendations identify approximately $ 1.5 mUlion In benefits for your agency.
OBJECTIVES AND GOALS
The overall objective of this study was to identify those areas within the Department of Youth
Treatment & Rehabilitation where services could be Improved and savings could be generated by eliminating
duplication of activities, Inefficient use of resources and other wasteful practices. The goal was to identify
the costs associated with the waste and inefficiencies so that the limited resources of the Department could
be allocated more appropriately In order to enable the Agency to more effectively meet the objectives of Its
mission and Its responsibUlties to the people, and especially the youth. of Arizona.
We reviewed the shelf data from the Department to understand Its mission, responsibilities and
workloads. Interviews were conducted with all levels of supervision and selected technical and clerical
Mr. John R. Arredondo, Director
Department of Youth Treatment & RehabUltation
Page 2
positions. We observed work actMtles and computer system use and obtained estimated work volumes and
standards for the processes which were reviewed. We also discussed procedural findings with department
and bureau managers and supervisors.
exhibit 1 lists the 78 individuals we contacted during the course of the review. Many of these
Individuals were contacted more than once to confirm our understanding of their areas of responsibUIty and
to discuss the feasibility of proposed process changes. Because of their cooperation and participation, we
have a high level of confidence that these recommendations can be successfully Implemented.
During the course of this review, we focused our efforts on those administrative and support areas
that are responsible for the day- to- ctay business, administrative, maintenance, finance and procurement
functions at the Central Office and the institutions. These areas, for the most part, do not have a ii'. ater. aJ
Impact on the Program or Treatment areas of the Agency. We are aware that you are In the process of
Implementing extensive changes to various facets of the organization and are contemplating further changes
In the near future, especially those areas of the Agency that plan, Implement and administer the Programs
and Treatments received by the youth within your Institutions. As a result, we did not focus a great deal of
attention on the Program areas of the Agency.
SUMMARY ANDINGS AND RECOMMENDATIONS
The Department of Youth Treatment and RehabUltation can realize a variety of benefits by
implementing the recommendations developed during the course of this review. The most significant benefits
Include Improved employee performance, better facUlty maintenance, more visJbBIty of dollars allocated to
and spent by each department and a comprehensive Agency- wide MIS strategic plan. There are also dollar
savings of $ 1,220,210 annually that result from reducing the Department's staff by 42.5 FTEs, as well as
$ 148,638 of savings from other sources. The total dollar value of all savings that can accrue to the
Department by implementing the recommendations detaHed in this report amount to $ 1,512,591.
The following paragraphs provide a brief sumrnary4evel synopsis of the recommendations for each
of the areas reviewed. The more detaUed recommendations along with the supporting detaUed backup
Information follow within the body of this report.
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Mr. John R. Arredondo, Director
Department of Youth Treatment & RehabUltatlon
Page 3
CENTRAL 0FF1CE RECOMMENDATIONS
Centra! OffIce Payroll
We recommend that the payroll data Input responsIbHltles being handled by the Administrative
Assistant In the Youth Services Bureau be transferred back to the Payroll Department where all of the other
Central Office payroll data Is currently being processed.
Data gathered during the course of the review also Indicates that there Is not currently enough
workload to justify staffing the Payroll Department with two Payroll Clerks. We recommend that one of the
two Payroll Clerk positions be eliminated.
Central OffIce Accounting Functions
The Accounts Payable functions are currently divided among three Accounting Technician positions,
although our Interviews and observations In this area Indicate that there Is only enough work volume for one
Individual. We recommend that the Accounts Payable responsibUlties be consolidated Into one position and
the other Accounting Technician positions be eliminated.
Eliminating these positions wUl result In an annual savings of $ 44,104.
INSTITUTIONAL RECOMMENDATlONS
Chaplain Services
We recommend that the ArIzona Department of Youth Treatment & RehabUltatlon reduce Its reliance
on paid Chaplains and arrange to receive the bulk of their spiritual services from the many religious
volunteers that are currently on the roles of the Department. We recommend reducing the clergy staff from
the current level of five chaplains to one Senior Chaplain who should serve as the coordinator and manager
Mr. John R. Arredondo, Director
Department of Youth Treatment & RehabUltatlon
Page 4
of volunteer religious services for the facUlties In Phoenix and Tucson. We also recommend rec: luclng the
Agency's reliance on contracted religious services.
Eliminating four of the currently employed chaplains wli result In annual savings of $ 127,895 and
rec: lucing the Agency's reliance on contraetec: l religious services can result In an additional savings of $ 1 0,578
annually.
Business OffIce Accounting
Data gathered during the course of the review Indicates that there Is not currently enough workload
to justify staffing the Business Office at the Adobe Mountain/ Black Canyon Institution with seven Individuals.
We recommend eliminating two of the currently fUled positions, two vacant positions and downgrading the
Administrative Services OffIcer II position to an Administrative Services OffIcer I.
Eliminating the over- staffing situation at the Adobe Mountain/ Black Canyon Business OffIce will
result In annual savings of $ 103,911.
Maintenance
The Adobe Mountain/ Black Canyon maintenance department currently spends approximately
$ 100,000 for outside maintenance services. We have made a variety of recommendations that should result
In rec: lucing the need to rely on these outside services. We believe that It should be possible to rec: luce the
current dependence on outside maintenance contractors by at least 50% which would result In annual
savings of approximately $ 50,000.
Other maintenance related recommendations include:
• Develop and Install a backlog system for maintenance projects
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Mr. John R. Arredondo, Director
Department of Youth Treatment & Rehablltatlon
Page 5
• Develop and Install a Preventive MaIntenance system.
These recommendations will result In:
• Longer life of the Institution's physical plant, buBdings and related systems
• Reduced repair and replacement costs
• Enhanced maintainability of the Institution's systems
• Greater up- time for those systems that relate to the health and safety of the jlNenlles.
We also recommend eliminating one Clerk Typist position and one Physical Plant Supervisor III
position at Adobe Mountain. Eliminating these two positions wUl result In an annual savings of $ 60,608.
The total combined savings that will result from these maintenance recommendations Is $ 110,608.
Alamo Mental Health Facility
We recommend that the Alamo facUlty be closed and the jlNenUes currently housed there be moved
to the Black Canyon facllty. We believe that the potential benefits that can be realized by the Department
by closing the Alamo facUlty includes the foIlCMlng:
• Provision of a sater, cleaner, healthier and more cost effective facUlty tor those mental
health youths currently committed to the care of the Department of Youth Treatment &
Rehablltatlon
• Better utilization of the Black Canyon facUlty
Mr. John R. Arredondo, Director
Department of Youth Treatment & Rehablltatlon
Page 6
• Elimination of rent and operating expenses at Alamo ($ 165,330 per year) less the additional
cost of opening and operating the second Black Canyon cottage ($ 77,270 per year) will
result In a net annual savings of $ 88,060
• Elimination of those Alamo staff positions that are currently duplicated at Black Canyon
and would not need to be transferred If the Alamo facUlty was absorbed by the Black
Canyon operation wli result In a net annual savings of approximately $ 570,086. This labor
savings assumes that the number of youth that would be housed at Black Canyon would
be the same as that currently housed at Alamo. If the number of youth Increases at Black
Canyon, this savings figure could not be fully realized.
JOINT CENTRAL OFFICE & INSTITUTIONAL. RECOMMENDATIONS
Procurement
We do not believe that the small volume of work being performed by the Procurement & Contract
Management group justifies maintaining a staff which Includes a Supervisor, two Buyers. three Contract
Management Specialists, and three clerical support staff.
We recommend transferring the responslbUIty tor RFP production, Contract Management and
purchasing to the State Procurement OffIce In the Department of Administration. Transferring these
responslbHities to the State Procurement OffIce wDl enable the elimination of the entire Procurement and
Contract Management group. Eliminating the Contract Management department at the Central OffIce will
result In an annual savings of $ 219,584.
When these responslblities are transferred to the State Procurement OffIce, we recommend that
a performance monitoring system be established to ensure that the State Procurement OffIce provides the
level of service reqUired to meet the goals of the Agency. To the extent that the State Procurement OffIce
can provide the appropriate level of service, It should not be necessary to maintain an entire Contract
Management group within the Agency.
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Mr. John R. Arredondo, Director
Department of Youth Treatment & RehabUltation
Page 7
We recommend transferring the responsibRIty for purchase of goods from the two Buyer positions
at Adobe Mountain and Black Canyon to the Individual department heads ( such as Is done at the Catalina
Mountain facUlty). This transfer of duties wli enable the elimination of the two Buyer positions. Eliminating
these two positions wli resutt In an annual savings of $ 45,346.
JuyenUe Record Maintenance
We recommend that only one active file be maintained on each youth Instead of the current multiple
flies being maintained.
We recommend that the Case Workers or other Agency personnel who create documentation that
Is to be Inserted in the file, do so In Its final form, I. e., In either a legible handwritten form or In a typed form
and insert it directly Into the jwenHe's file. The preferred method would be to enter the data directly into
a Personal Computer and print the results for Inclusion In the Jwenlle's file. Some of the cottages are
currently equipped with Personal Computers.
Transferring the responslbUIty for fDe maintenance to the Case Managers and Case Workers wUl
eliminate the need to have a staff of Clerk Typists and Information Processing Specialists at the institutions
to type the handwritten documents that are currently being submitted to them.
We also recommend that the Agency continue to pursue Its long term goal of automating the entire
fie maintenance process. Most of the treatment and historical data contained within each youth's fDe can
be entered and stored electronically rather than In the current manually generated paper format We
understand that automating the Agency's youth file system Is one of your goals and we concur In this
approach.
Eliminating the duplication of flies and transferring the responsibBIty for record maintenance to the
Case Managers and Case Workers wUl result In the following benefits to the Agency:
Mr. John R. Arredondo, Director
Department of Yomh Treatment & RehabUltatlon
PageS
• Greater accuracy of the one remaining fie
• Elimination of the extra steps and personnel currently Involved In record preparation,
typing. fUlng and maintenance
• Elimination of 9.5 unnecessary staff positions that are responsible for typing and filing
JuvenUe records for an annual savings of $ 173.884.
Departmental Budget Responsibility
We recommend that the broad budget categories that are currently being used by the Agency to
allocate the annual budgeted funds be subdivided Into smaller, more manageable categories such as those
represented by the Object and Sub- Object codes of the STARS system.
We also recommend that a useful monthly reporting tool be developed that provides the Bureau
and institution managers with v1slbUIty of:
• Monthly expenses compared with the monthly plan
• Year- to- date expenses compared with the year- to- date plan.
Implementing the recommendations listed above will provide the following benefits:
• Provide the Individual Bureaus and Institutions with the appropriate tools to manage the
funds allocated to their areas
• Enhance the abHIty of the Bureaus and Institutions to proper1y plan their activities and
expenditures for the year
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Mr. John R. Arredondo, Director
Department of Youth Treatment & RehabDltatlon
Page 9
• Enable the Bureaus and Institutions to monitor their progress against the annual budget
on a monthly basis.
Performance Reporting
We recommend that an Agency- wide Performance Monitoring and Reporting System be developed
and Installed In all Bureaus and departments at the Central Office and all of the Institutions. Key
components of the system should Include:
• Gathering of daUy statistical data on the volume of work being completed In each area
• Development of standards that wDl provide guidance to management regarding the volume
of work that can be expected to be performed each day
• A simple method to compare the established standards with the actual dally results
• Active use of the dally data to manage the work of each area.
Installing a Performance Monitoring and Reporting System will provide the following benefits to the
Agency:
• Enable management to compare the relative performance of their employees
• Enable management to identify work volume trends and compare performance for slmUar
time periods
• Provide management with the abUIty to compare the relative performance of s1mUar offices
at the various Institutions
Mr. John R. Arredondo, Director
Department of Youth Treatment & RehabUltatlon
Page 10
• Enable management to determine If staffing levels are appropriate for the volume of work
being processed
• Enable management to identify areas of their departments that need Improvement
• Enable management to determine If performance Is Improving or deteriorating In their areas
• Enable management to effectively and objectively evaluate the performance of their staff.
MIS Strategic Plan
We recommend that an MIS Strategic Plan be developed by the Director, Deputy Director, Assistant
Director of Support Services and other key Agency personnel to be selected by the Director. Other key
personnel should be selected to represent the needs of the following areas:
• The Instltutions
• Case Management
• Health Services
• Business OffIce
• Maintenance
• Warehouse
• Purchase of Care
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Mr. John R. Arredondo. Director
Department of Youth Treatment & Rehablitation
Page 11
• Accounting and Finance
• education
• Volunteer Services
• Training Services.
Until the Strategic Pian has been formulated and finalized. we recommend that no further MIS
systems be planned. developed or Installed.
Genera! Observations
We realize that you are In the process of gUiding the Department of Youth Treatment &
RehabUitation through an Important and massive evolution. Although the Agency has undergone many
changes over the last severa! years since It was created out of the Department of Corrections. these
changes have not resulted In a more effective organization. For the first time since the creation of the
Department of Youth Treatment & Rehabilitation. you and your staff are bringing the appropriate experience.
vision and strength of purpose to enable this Agency to provide quality treatment and service to the youth
of ArIzona. We commend you for the positive steps taken thus far and support your future plans.
The recommendations detaUed In this report were made In the context of the state of the Agency
as It existed during the time frame of this review. Because your Agency Is In a state of transition and stDI
undergoing constant change. It wUl be Imperative to take Into consideration any Interim changes that are
executed by you and your staff when Implementing these recommendations. It may be necessary to modify
or adjust the suggestions and resolve any differences that may exist due to changes that have occurred
since this report was published.
Mr. John R. Arredondo, Director
Department of Youth Treatment & RehabHltatlon
Page 12
SUMMARY OF SAVINGS
The benefits to be derived from the recommendations outlined above are more fully detailed In the
body of this report. Exhibit 2, DYTR Summary of Savings, summariZes:
• The 42.5 currently filed staff positions that can be eliminated
• The seven vacant staff positions that can be abolished
• The $ 1,220,210 of annualized savings associated with these staff reductions
• The $ 148,638 of annualized savings from sources other than staff reductions.
Exhibits 3 through 10 depict the Organization Charts of those departments and Bureaus that were
reviewed and for which recommendations were made that Impact the structure of the organization. In all
cases, the Presn () rgBnizatiorB Struct1re ( as It was found during the review) preceeds the Proposed
() rgBnizatiorB Struct1re ( which reflects the recommended changes). Although the organizations that are
depicted in the Proposed Organization exhibits are consistent with the recommendations found in the body
of this report, they are not the only organizational structures that can be created to meet the goals of the
Agency. As mentioned above, any interim changes within these departments that are made by you or your
staff must be taken Into account when Implementing the recommendations and altering the organization.
IMPLEMENTATION
Implementation Is the most critical step in the process of achieving savings. Potential savings are
often identified but not achieved when the implementation process Is distracted by day- tCHiay activities or
managers shy away from the necessary reduction In staff. Successful Implementations are marked by two
important attributes:
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Mr. John R. Arredondo. Director
Department of Youth Treatment & Rehabilitation
Page 13
• A strong commitment from senior management to achieve as much of the savings as
possible
• The designation of Implementation team leaders with the necessary strength to see the
task through to completion.
The Implementation process Is best carried out as soon after the review process as possible. This
maintains momentum while the topics are fresh In people's minds. The recommended Implementation
Schedule. shown In exhibit 11, provides a suggested Implementation sequence and approximate duration
for each recommendation. We believe a dedicated team can accomplish Implementation In 8- 10 months.
A more detaUed Implementation plan should be developed as the first step of Implementation.
Implementation requirements for each of the recommendations are Included In the body of the report with
each Individual recommendation.
* * * * *
Mr. John R. Arredondo, Director
Department of Youth Treatment & RehabDltatlon
Page 14
We wish to thank you as the Director of the Department of Youth Treatment & RehabUltatlon and
your entire staff for their complete cooperation, participation, comments, suggestions and their full support
of our efforts dUring this study.
We appreciate this opportunity to have been of service to you, the Governor and the SUM Steering
Committee In this endeavor. Should you have any questions regarding this report, please feel free to
contact the Project executive. David St. John, or the SUM Team Leader for your Agency, John Barker.
The Agency Director's comments follow this signature page.
~ U~
David St. John
executive Director
Project SUM
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OTYR - 14A
, Quote from inital Project SLIM draft report.
FRAN GONZALO
ASSISTANT DIRECTOR
DAVID J. COCOROS
DEPUTY DIRECTOR
ohn R. Arredondo, Director
David St. John, Project Executive, Project SLIM
MEMORANDUM
June 5, 1992
DYTR is an agency in crisis. The safety of our youth, and staff, is in serious jeopardy.
• Basic life- safety issues such as inoperable fire- alarm systems, heating and cooling
systems that function inadequately and/ or sporadically, exposed wiring, missing and/ or
non- functioning lighting and plumbing fixtures in housing units, as well as structural
issues such as roofmg and building integrity need to be addressed.
DYTR is, however, in full agreement with the central goal of the Project SLIM audit: to identify
inefficiencies so resources can be more appropriately allocated within DYTR.
The Project SLIM audit report highlights major changes required for the elimination of
inefficiencies, makes recommendations for improved services, and supports DYTR plans for
meeting youth treatment, community protection and federal lawsuit requirements. DYTR has
discussed with Project SLIM the need for adjustments to some recommendations ( e. g. savings
noted included some limited, unfunded and/ or previously abolished positions; certain positions
were recommended for elimination that are needed, and so forth), and has already started to
implement other recommendations ( e. g. closing the Alamo Juvenile Institution; reducing funds
spent on contract maintenance, and so forth).
The goal of the Project SLIM audit of the Department of Youth Treatment and Rehabilitation
( DYTR) was to identify " waste and inefficiencies so that the limited resources of the Department
could be allocated more appropriately in order to enable the Agency to more effectively meet
the objectives of its mission and its responsibilities to the people, and especially the youth, of
Arizona." l
SUBJECT: Project SLIM Report
FIFE SYMINGTON
GOVERNOR
JOHN R. ARREDONDO
DIRECTOR
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DTYR - 148
JRAlsgv
I requested the Project SLIM audit in January, one month after I was appointed as the DYTR
Director. The need then, as it is now, was to quickly and thoroughly examine where the
agency's resources are being spent ineffectively so that these resources can be re- directed and
re- invested into areas that will ensure the safety of youth, staff, and the community.
• Adequate direct- care staff to youth ratios must be established to reduce staff and youth
injuries, destruction of state property, staff turn- over, and workers' compensation claims.
( Forty- nine workers' compensation claims have been flled by staff working in DYTR
secure facilities from December, 1991 through April, 1992).
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- 2- June 5, 1992
• Resources need to be re- directed to reduce legal liability. DYTR is currently facing a
number of lawsuits relating to conditions of confmement, inadequate staffing ratios, due
process procedures, " medical care, and treatment program and youth care deficiencies.
Over a million dollars has already been expended on defending just the Johnson vs.
Upchurch federal lawsuit. The issues raised in this lawsuits must be addressed. The
only question is timing: Will we resolve the system- wide issues that have been litigated
ourselves, or we will continue to expend resources on legal fees and settlement claims
while we wait for federal court directives?
Mr. St. John
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I EXHIBIT 1
Page 1 of 2
I SLIM INTERVIEW LIST
Arizona Department of Youth Treatment & Rehabilitation
I NAME TITLE DATE
I 1 John Arrendondo Director 2/ 24/ 92
2 Bill Patrick Budget Officer 2/ 25/ 92
I 3 Constance Kohl Planner 2/ 25/ 92
4 Jan Christian Task Force Liaison 2/ 25/ 92
5 Joel Blumenthal Public Info Officer 2/ 25/ 92
I 6 David Cocoros Deputy Director 2/ 26/ 92
7 Fran Gonzalo Support Svcs Ass't Director 2/ 26/ 92
8 Kelly Spencer Youth Services Administrator 2/ 26/ 92
I 9 Jim Price Administrative Svc's Officer 2/ 26/ 92
10 Alan Wright Education Superintendent 2/ 27/ 92
11 Mike Ullery Youth Placement Administrator 2/ 28/ 92
I 12 Diann Patterson Purchasing Manager 3/ 2/ 92
13 Mary Sommers Fiscal Services Specialist 3/ 2/ 92
14 Les Jennings Management Services Bureau Admin. 3/ 16/ 92
15 Lisa Escobar Administrative Assistant 3/ 4/ 92 I 16 Steve Troxel Buyer 3/ 4/ 92
17 Elena Perez Information Processing Specialist 3/ 5/ 92
18 Jim Swaziek Contract Management Specialist III 3/ 5/ 92 I 19 Connie Glancy Contract Management Specialist II 3/ 5/ 92
20 Donna Clark Contract Management Specialist II 3/ 5/ 92
21 Jan Piepergerdes Health Svcs Administrator 3/ 5/ 92
I 22 Dan Myers Fiscal Svcs Specialist III 3/ 6/ 92
23 John Correa Accounting Tech II 3/ 6/ 92
24 Tom Jensen Fiscal Svcs Specialist V 3/ 6/ 92
I 25 Margaret Burns Personnel Manager 3/ 6/ 92
26 Marian Webber No. Region Administrator 3/ 11/ 92
27 Sam Vaccaro Diagnostic Center Superintendent 3/ 12/ 92
I 28 Darwin Johnson Behavioral Health Treatment Unit Mgr 3/ 9/ 92
29 Vicki Kaltenberg Assistant Superintendent 3/ 10/ 92
30 Joan Bevier Administrative Assistant 3/ 12/ 92
I 31 Kay Stephens Business Manager 3110/ 92
32 Jim Nelson Maintenance Manager 3111/ 92
33 George James Maintenance Supervisor 3/ 11/ 92
I 34 Jim Whitehead Maintenance Supervisor 3110/ 92
35 Mandy Biggs Fiscal Services Specialist III 3/ 10/ 92
36 Elvira Mallory Fiscal Services Specialist III 3110/ 92
I 31 Jeanine Chaney Accounting 1echnician ill 3111/ 92
38 Alix Sands Accounting Technician II 3/ 10/ 92
39 Dave Novak Buyer 3/ 10/ 92
I 40 Ray Burley Storekeeper 3/ 9/ 92
I DYTR - 15
I EXHIBIT 1
Page 2 of 2 ( continued) I SLIM INTERVIEW LIST
Arizona Department of Youth Treatment & Rehabilitation I
NAME TITLE DATE I
4412 VDiiaHnennWleyeiss SPeecrsreontanreyl UTneicthSnuicpiearnvisor 33// 1121// 9922 I
43 Frank Vloch Senior Chaplain 3/ 9/ 92
44 Vic Kane Work Program Officer 3/ 10/ 92 45 Ted Kuhn Investigations Supervisor II 3/ 17/ 92 I
46 Jack Boyle Program & Projects Specialist II 3/ 17/ 92
47 Pat Thomason Program & Projects Specialist II 3/ 17/ 92 48 Ed Miksch EDP Program Analyst II 3/ 18/ 92 I
49 Corrine Slater EDP Program Analyst 111 3/ 18/ 92
50 Janet McGill Corr. Records Clerk II 3/ 18/ 92
51 Dolores Rankin Corr. Records Clerk I 3/ 18/ 92 I 52 Mary Lynn Russo Administrative Assistant III 3/ 18/ 92
53 Beth Cowan Accounting Technician III 3/ 19/ 92
54 Wendy Chisholm Accounting Technician II 3/ 19/ 92 I 55 Phyllis Bennett Investigator II 3/ 19/ 92
56 Beth Bates Staff Development & Training Officer 3/ 19/ 92
57 Sally Cobb Volunteer Coordinator 3/ 20/ 92 I 58 Duane Gerry Building Planning Coordinator I 3/ 20/ 92
59 Doc Holloway Investigator 111 3/ 19/ 92
60 Jim Santa Cruz Superintendent 3/ 23/ 92 I 61 Kieth Arnold Chaplain 3/ 23/ 92
62 Eli Jefferson Chief of Security 3/ 23/ 92
63 Art Glass Business Manager 3/ 23/ 92 I 64 Bill McPheron Equipment Mechanic 3/ 23/ 92
65 Bev Waslaski Fiscal Services Specialist III 3/ 23/ 92
66 Fay Eduvigen Storekeeper I 3/ 23/ 92 I 67 Mike Lopez Storekeeper I 3/ 23/ 92
68 Jim Cook Physical Plant Supervisor 3/ 23/ 92
69 Domenick Collura Food Service Supervisor II 3/ 23/ 92 I 70 Rich Trujillo Youth Program Officer II 3/ 23/ 92
71 Bill Rowe Volunteer Coordinator 3/ 23/ 92
72 Tom Turos Correctional Education- Principal 3/ 23/ 92 73 Carl Fox Youth Hearing Board 3/ 24/ 92 I
74 Lisa Shoemaker Payroll Clerk 3/ 24/ 92
75 Dave Graham Fiscal Services Specialist III 3/ 24/ 92 76 Cany Baird Payroll Clerk 3/ 31192 I
n Sharon Miller Youth Services Admin Assistant 4/ 6/ 92
78 Cherie Moreno Business & Finance Admin Assistant 4/ 6/ 92 I
I DYTR - 16
I
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DYTR SUMMARY OF SAVINGS
ELIMINATE
FILLED
POSITIONS
CENTRAL OFFICE RECOMMENDATIONS
ABOLISH
VACANT
POSITIONS
TOTAL
POSITIONSl AVOIDED
SAVED COST
FTe .• · · .~ T. · OTHeR
DOLLAR DOLLAR
SAVINGS SAVINGS
EXHIBIT 2
TOTAL
DOLLAR
SAVINGS
Central Office Payroll I 1 1 I 1 , I $ 18,535 1 / $ 18,535
$ 0
Combine Central Office Accounting Functions I 1 1 1 I 21 18,535 I $ 25,569/ I $ 44,104
$ 0
INSTITUTIONAL RECOMMENDATIONS I I I I I I I $ 0
$ 0
Chaplain Services I 41 1 41 I $ 127,895 $ 10,578 $ 138,473
$ 0
Institution Business Office Accounting I 21 21 41 49,573 I $ 54,338 $ 103,911
$ 0
Institution Maintenance I 21 I 2/ I $ 60,608 I $ 50,000 I $ 110,608
$ 0
Alamo Mental Health Facility 17 17 $ 570,086 $ 88,060 $ 658,146
~
$ 0
JOINT CENTRAL OFFICEIINSTITUTIONAL $ 0
I RECOMMENDATIONS $ 0
.... $ 0
.."
Central Office Procurement & Field Procurement 7 3 10 58,294 $ 206,636 $ 264,930
$ 0
Juvenile Record tl1aintenance I 8.5 I 1 I 9.5 1 17,341 I $ 156,543 I I $ 173,884
$ 0
Departmental Budget Responsibility I I I I I I I $ 0
$ 0
Performance Reporting I I I I I I I $ 0
$ 0
Develop MIS Strategic Plan I I I I I I I $ 0
- r1 49.5 I$ 143,7431$ 1; 220,2101$ 148,6381
$ 0
GRANO TOTAL I · . 42.5 · · r-- $ 1,512,591
,....~~
DEPARTMENT OF YOUTH TREATMENT EXHIBIT 3
AND REHABILITATION
CENTRAL OFFICE
BUSINESS/ FINANCE ADMINISTRATION
PRESENT ORGANIZATIONAL STRUCTURE
- _ WAe2-
AJlttIH. SERVICES
( niCER III
1
I
I I
COITRACT fiSCAL SERVICES PAmJll
twlAGEl'fHT
~ ~ SPECIALIST V ClfRl(
5lI'ER'/ I SlJI
I 2 2
COITRACT
twlAGEt£ HT FISCAL SERVICES
""-
SPECIALIST III f-- SPECIALIST III
I
2
I
COITRACT
twlAGEIt'HT
SPECIALIST II AWUlTIHG
2 - TEOtIlCU" III
I
MER III
~
ACIXUlTlHG
I
f-- TECItIlCiAH II
)
IlU\' ER II
I ~ w
AJlttIHISTRATlVE
- ASSISTANT I
I
AJlttlH
-- ASSISTANT I H: I'FOOHATIOO II I
POOCESS1~ lG SPECII
Y AJlttIHISIRATlVE I SECRETARY I
I - - -
~
: D
.....
( X)
- - - - - - - - - - - - - - - - - - -
~
I - CD
DEPARTMENT OF YOUTH TREATMENT
AND REHABILITATION
CENTRAL OFFICE
BUSINESS/ FINANCE ADMINISTRATION
PROPOSED ORGANIZATIONAL STRUCTURE
APlIN. SERVICES
lFFICfR III ,
I
I I
PAVlnl FISCAL SEIlVlCES
ClEll( ~ SPECIAlIST V
I 2
FISCAL SERVICES
- SPECIAliST III
2
ACCOJITIt « l
I- TECItlICIAN III
I
ACCOJITIt « l
- TECItlICIAN II
I
SECAETARV
-
I
APlIN
L- ASSISTANT I
I
EXHIBIT 4
lft\ 9J- l
~
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1DlTI£ AN REGICIl
SlJ'ERINmaNT
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IHSTlTUTIDlAl
CIlAPlAIN II
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IHSTlTUTIDlAL
CIlAPlAIN I
]
DEPARTMENT OF YOUTH TREATMENT
AND REHABILITATION
CHAPLAIN SERVICES
PRESENT ORGANIZATIONAL STRUCTURE
-_ ..,
IllJS
EENS I
I
•••• J
SOOTII REGIOl
SlJ'ERINTEItlENT
1
I
IHSTlTUTIDlAl
CIlAPlAIN I
I
r ••••"•••• ,
RELIGIllJS I \ Q. LllTEERS I
I I
L••••••• _ J
EXHIBIT 5
- - - - - - - - - - - - - - - - -
- - - - - - - - - - - - - - - - - - -
~
N....
DEPARTMENT OF YOUTH TREATMENT
AND REHABILITATION
CHAPLAIN SERVICES
PROPOSED ORGANIZATIONAL STRUCTURE
CHiEfa'
CHILD CARE lOll(
I
INSTlTUlIOOL
CHAPLAIN II
I
r - - - .". - •• ,
IlELlGIWS
I ,/ OUJlTEERS I
I I
L. •••• J
EXHIBIT 6
IMI-!
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DEPARTMENT OF YOUTH TREATMENT AND REHABILITATION
ADOBE MOUNTAIN/ BLACK CANYON BUSINESS OFFICE
PRESENT ORGANIZATIONAL STRUCTURE
ADMINISTRATIVE
SEftVICES
OFFICER II
I
r I I 1
I'HYSICAL I'LAIIT FISCAL SERVICES ADIlINISTRATlVE
SUI'ERYISOIt SI'ECIALIST OFFICER I IIlYER II
III III
Z , , I
I'HYSICAL I'LAIIT ACCOUNTING
SUI'ERYISOR TECHNICIAN
l- II f- III , ,
I'HYSICAL I'LANT ACCOUNTING
SUI'ERYISOIt TECHNICIAN
l- I "- II
I I
IUILDING
MAINTENANCE
I- TECHNICIAN
II
a
CLEftK
TYI'IST I
l-
I
CORIIECTIONAL
WORK I'ROJECTS
'- SI'ECIALIST ,
EXHIBIT 7
- - - - - - - - - - - - - - - - - - -
~
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DEPARTMENT OF YOUTH TREATMENT
AND REHABILITATION
ADOBE MOUNTAIN/ BLACK CANYON
BUSINESS OFFICE
PROPOSED ORGANIZATIONAL STRUCTURE
_ a'
INSTlTUTllIlAL
HAHAGfHfNT
SERVICES
I
PllV5ICAL PLANT
f-- SlJ'ERVISCJl II
1
llUllOINll
MAINTENANCE
TECitlIClAN II
7
PllV5ICAL PLANT
'--- SlJ'ERVISCJl I
I
llUllOINll
IIAINTENANCE
f-- TECItIICIAN II
1
CCRRECTllIlAL
lOlK POOJECTS
'-- SPECIALIST
1
AOHINISTRATIVE
SERVICES
lFFICER I
I
FISCAl SERVICES
SPECIALIST III
1
ACCOONTINlI
TECItIICIAN III
1
EXHIBIT 8
~
~
Nm: IOMTAIN
caRCTllIlAL
REWlllS
r-- TECI. UCIAH
I
caRCTllIlAL
- REClRlS CLERK
2
IIFCItIATlat
PlIlCESSIHil - SPECIALIST II
2
JIFCItIATlat
PlIlCESSIHil
'-- SPECIALIST I
2
CLERK
- TYPIST
I
DEPARTMENT OF YOUTH TREATMENT
AND REHABILITATION
JUVENILE RECORD MAINTENANCE
PRESENT ORGANIZATINAL STRUCTURE
CATM. INA
llJlRECTllIlAL
RECCIlOS
TECt. UCIAH
I
I
CLERK
TYPIST
2
BtN: K (),/ fi~
llJlRECTIlIlAL
RECCIlOS
TECIflICIAH
I
( ENTIVJ. ( Jfl([
llJlRECTllIlAL
REWlllS
CLERK
2
EXHIBIT 9
- - - - .. _ ...- -' p
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CD
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~ Ill! v I §
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I- < a:: ~ S < W 2 2W III- I ; 1 ~~- - a:: 0 I- I- Ill! § .... x: I u.-. < CxQ: u0a:: .< N...
0 W 2 I w a:: < I- a:: 0
2 C W a::
W 2 ... J 0
::: E <
~ I- 2 C a:: w w ~ S I a: J I0II J-- w ..., a.. "~" I~ § c 0 a! i a::
a..
I
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>- - - I ~ Ill! §
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EXHIBIT 11
===~> = FOLLOW UP
DYTR - 26
1. 2 3 4 5 6 7 8 9 1.9
...
•
• ----=>
III • I I I I •
ONGOINt
I • I >
I I I • I I I >
I I I• I I I > I • I I I I I I I > I I I I I. I I I >
INSTITUTIONAL
POXNT TXTLE
DEPARTMENT OF VOUTH TREATMENT
AND REHABILITATION
CENTRAL OFFICE
I~ ple~ entation Schedule
M 0 N TH S
JOINT CENTRAL OFFICE~
INSTITUTIONAL
Alall'o Facility
------... = ACTIUE IMPLEMENTATION
Chaplain Seruices
Business Office
Accounting
t'laintenance
Payroll
Accounting Functions
Juuenile Record
t'laintenance
Procurell'ent
Departll'ental Budget
Responsibility
Perforll'ance Reporting
Deuelop t'lIS Strategic
Plan
...- -----_-. 1
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CENTRAL OFFICE PAYROU
Current Situation
The central Office Payroll Department is currently staffed with two Accounting Technicians II that
serve as the Payroll Clerks for the Agency. They are responsible for the following functions:
• Input exceptions to dally reported hours for each pay period ( twice per month) for:
central Office staff
Alamo staff
Ironwood staff
Desert Valley learning center staff
( the payroll data for the other institutions Is entered remotely at each institution)
• Reconcile Payroll Register with employee Change Sheets once per pay period
• Process Payroll Adjustments once per pay period ( as necessary)
• Process Industrial Claims as necessary
• Process Employee Transfers once per pay period ( as necessary)
• Reconcile AFIS data with STARS data once per pay period ( this task will no longer be
necessary after the Agency begins using AFIS II sometime later this year)
• Answer employee's questions regarding payroll issues
• Research payroll questions for employees and Personnel Department.
The two Accounting Technicians that fulfill these responsibilities reported that they spend only 70
hours per month between them to complete all of their dally duties. This - hours worked- figure appeared to
be so low relative to the - hours paid- figure ( 2 people X 160 hours paid/ month.." 320 hours paid) that both
of the Individuals were interviewed jointly a second time to verify the amount of time spent on these
DYTR - 27
activities. The second Interview revealed that there are no other duties for which these Individuals are
responsible and also confirmed the 70 hours per month figure.
The Administrative Assistant In the Youth Services Bureau reported to us that she Is responsible
for the Input of payroll data for approximately 25 Parole Officers. She spends approximately two hours per
payroll period ( four hours per month) to Input the data and reconcllng the Payroll Register with the
employee Change Sheets.
ImPact
Maintaining two Payroll Clerks when there Is only 70 hours per month of productive work available
has resulted In staffing the department with twice as many clerks as needed.
Recommendation
We recommend that the four hours per month of payroll duties currently being handled by the
Youth Services Administrative Assistant be transferred to the Payroll Department.
We recommend that one of the Payroll Clerk positions be eliminated. However, this still leaves
approximately 90 hours per month of time available for other duties. We suggest that this available time be
used to supplement the other department's clerical needs.
We also recommend that either the Personnel Assistant or Personnel Technician be cross trained
to serve as a backup to the Payroll Clerk during periods of absence and vacation.
Benefit
Eliminating the one unnecessary Payroll Clerk position wUl result In annual payroll savings of
$ 14,481 and ERE ( 28%) savings of $ 4054 for total annual savings of $ 18,535.
Central Office Reduction - one Accounting Technician II
$ 14,481 + 28% ERE ($ 4054) = $ 18,535
DYTR - 28
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• Transfer all payroll duties to one of the current Payroll Clerks
• Develop Internal Agency system to direct clerical duties from the other Agency
departments to the Payroll Clerk to perform during periods of low payroll activity
• Cross train Personnel Assistant or Personnel Technician to serve as backup to Payroll
Clerk.
DYTR - 29
COMBINE CENTRAL OFFICE ACCOUNTING FUNCTIONS
The Central OffIce Accounting function is staffed with one Administrative Services Officer III, two
Fiscal Services Specialists V, two FIscal Services Specialists III, one Accounting Technician III and three
Accounting Technicians II ( one position Is vacant), one Secretary and one Administrative Assistant
These Individuals are responsible for the following activities:
• Accounts Payable processing for:
Central Office purchases
Health Services purchases
Education purchases.
Accounts Receivable processing for:
Witness Fees
Fines
Parental Assessment
Restitution
• Travel Claims from Central Office employees
• Posting of Federal Grant data
• Tracking of donations
• Processing of deposits to the General Accounting Office for such Items as:
Parental Assessment
Restitution
etc.
• Administrative transfers
• ReconcUiation of checking accounts
DYTR - 30
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• Tracking and reporting of Federal funds received and expended
• Federal Grant reporting
• Reconciliation of STARS and AFIS accounting systems
• Processing Tuition reimbursement requests
• Capital Asset inventory maintenance
• Ad hoc financial reporting.
The Accounts Payable activities ( Health Services, Education & Central Office expenditures) have
been divided between the two Accounting Technicians II. One of the Technicians processes the Health
Services invoices while the other Technician processes the payables for the Education and Central Office
expenditures. The Education Payables were previously handled by the third Accounting Technician II. This
position is currently vacant and the duties of this position have been transferred to the Technician who
handles the Central Office Payables.
Although there is no statistical nata currently available to Indicate how many Education and Central
Office invoices are processed each month, the Technician reports that she spends approximately 50% of
her time encumbering the funds and paying the invoices for the Central Office and Education expenditures.
She spends an additional 25% of her time posting Federal Grant data and printing the reports associated
with the Grants received by the agency. The balance of her time ( the remaining 2S%) Is currently spent
processing such items as Parental Assessment payments, restitution STARS entries and tracking donations
to the Agency. Itwas not evident that there was actually 20 hours of work per week Involved In these other
activities and there was no reported backlog of work.
There are approximately 90 Health Services Invoices processed each month by the other
Technician. This amounts to about Sinvoices per day. Well organized Accounts Payable systems typically
require 1- 5 minutes per Invoice for processing. At the slowest rate, the Accounts Payable processing for
Health Services Invoices should take approximately 25 minutes per day. His only other responsibility is
processing Tuition Reimbursement requests. These requests are received on an Intennlttent basis as
empl"''' eee- ••• - J w h~ t" i,.....,... a".,'...~. u... plet~.., w" w'" w....."..,. ij, t~\",..... i. ai\ slsoo. V. ai_ ligvlbllvn f Ur ." O"" · iltm- b" v- e. m... si" ii"...
DYTR - 31
DYTR - 32
Benefit
ImPact
Recommendation
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Total Savings: $ 25,569 + $ 18,535 = $ 44,104
• Transfer all Accounts Payable processing to one individual
Accounting Technician ( vacant): $ 14,481 + 28% ERE ($ 4054) = $ 18,535
After Interviewing and observing the one Technician that Is currently handling the Education and
Central OffIce Payables ( previously handled by two budgeted FTEs), it appears that there is only enough
workload for one position rather than the two positions that are budgeted for this department.
Accounting Technician II: $ 19,976 + 28% ERE ($ 5593) = $ 25,569
After Interviewing and observing the Technician that handles the Health services Payables, it
became dear that the work assigned to this position Is not sufficient for one full time employee.
We recommend that the work associated with the Health Services Payables and the Tuition
Reimbursements be combined with the work currently being performed by the other Technician handling
the balance of the Central OffIce Payables. This will enable the department to eliminate one of the currently
filled Accounting Technician II positions. In addition, we recommend that the currently vacant Accounting
Technician II position be abolished.
Eliminating the currently filled Accounting Technician II position will result in an annual savings of
$ 25,569 and not filling the currently vacant position will result in an annual savings of $ 18,535 for a total of
$ 44,104.
Implementation
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• Cross train one of the Fiscal Service Specialists in the Accounting and Finance department
to serve as an Accounts Payable backup during periods of vacation or absence.
DYTR · 33
Q1APl. AIN SERVICES
The Department of Youth Treatment & RehabBltatlon currenUy employs five full time Chaplains to
administer to the spiritual needs of the Department's Incarcerated youth. The Senior Chaplain Is based at
Adobe Mountain and manages the activities of three Chaplains ( one full time Chaplain at Adobe Mountain,
one full time Chaplain at Black Canyon, one 1/ 4 time Chaplain at Adobe Mountain and one 3/ 4 time
Chaplain at Alamo). The Senior Chaplain Is also assisted by contracted Protestant and catholic services
as well as a myriad of volunteer clergy and lay people that utBlze the Chapel facUlty on the grounds of the
Adobe Mountain Institution. We were told during our Interview with the Senior Chaplain that there are as
many as 120 volunteers on his rolls at any given time that are able to administer to the needs of the youth
at Adobe Mountain and Black Canyon. CurrenUy there are approximately seven volunteer clergy and 110
volunteer lay people assisting the Chaplains at Black Canyon and Adobe Mountain.
There Is also one full time Chaplain at Catalina Mountain In the South Region that Is supplemented
by contracted catholic services as well as other volunteer clergy and lay people.
The newtyappointed Director of the Department of Youth Treatment & RehabUitation reported that
he used only one paid Chaplain for the Youth Treatment Agency which was responsible for the entire state
of Texas. This paid Chaplain was then supplemented with a variety of unpaid volunteers from each of the
communities in which the Institutions were located. The Director reported that there were always more than
enough volunteers that were willing to provide the needed services to the Incarcerated youth In Texas.
The Department of Youth Treatment & RehabUltatlon Is currenUy spending $ 162,914 per year for
the salaries ( and ERE) of the five Chaplains and an additional $ 10,578 for the Protestant and catholic
services that are contracted to outside entities.
We recommend that the ArIzona Department of Youth Treatment & RehabDltation fashion their
Chaplaincy services after the Texas system whereby the bulk of the spiritual services are provided by
DYTR - 34
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volunteers. The Senior Chaplain should serve as the coordinator and manager of these services for the
facUlties in Phoenix and Tucson. We recommend that the clergy of the various denominations represented
by the population of incarcerated youth be contacted to determine their willingness to donate their time to
provide those specialized services ( such as administering the Mass, baptisms, etc.) that are not able to be
provided by volunteers. To the extent that these services are unavailable on a donation basis, we
recommend that these services be contracted out on an as- needed basis.
Benefit
Reducing the current Chaplain staff to one Senior Chaplain from the current number of five
Chaplains will result in an annualized savings of $ 127,895. In addition, If the use of paid contracted
Protestant and Catholic Services can be replaced with donated services, an additional savings of
approximately $ 10,578 can be realized for a total of $ 138,473 as shown below.
Adobe Mountain
• .25 Institutional Chaplain: $ 8049 + 28% ERE ($ 2253) = $ 10,302
• one Institutional Chaplain: $ 25,500 + 28% ERE ($ 7140) = $ 32,640
• .75 Institutional Chaplain: $ 16,111 + 28% ERE ($ 4511) = $ 20,622
Black Canyon
• one Institutional Chaplain: $ 21,803 + 28% ERE ($ 6104) = $ 27,907
Catalina
• one Institutional Chaplain: $ 28,457 + 28% ERE ($ 7967) = $ 36,424
Implementation
• Develop a · Service Matrix" for each Institution that displays the:
DYTR - 35
•
•
•
religious services that need to be delivered to the youth
the current provider of each service ( volunteer, paid state staff or contracted
service provider)
Determine to what extent volunteers can assume the duties that are currently being
administered by paid Chaplains
Assign appropriate volunteers to each service
Review existing religious service contracts and determine whether service needs to be
continued and, if not, the ability to cancel the contract.
DYTR - 36
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INS1JlU[ ION BUSINESS OFFICE ACCOUNllNG
The Business Office at the Adobe Mountain/ Black Canyon Institutions Is currenUy staffed with one
Administrative Officer II physically located at Black Canyon, two Administrative Officers I ( both positions are
currenUy vacant), two Fiscal Services Specialists III physically located at Black Canyon, one Accounting
Technician III physically located at Adobe Mountain and two Accounting Technicians physically located at
Black Canyon ( one position Is vacant).
The Business Office at catalina Mountain Is currenUy staffed with one Administrative Services
Officer I, one Fiscal Services Specialist III and one Accounting Technician III. All three of these positions
are currenUy filled and are physically located at Catalina Mountain.
The one Administrative Services Officer II, two Fiscal Services Specialists, one Accounting
Technician II and one Accounting Technician III at Adobe Mountain/ Black Canyon and the Administrative
Services Officer I, one Fiscal Services Specialist III and one Accounting Technician III at Catalina Mountain
are responsible for the following functions at their respective Business Offices:
• Standard Accounting and Reporting System ( STARS) data entry for Institutional Accounts
Payable ( encumbrances and claims)
• STARS data entry for accounting transfers
• Accounting for juvenile trust accounts
• Accounting for travel claims
• Creating monthly financial reports
• Creating financial projections as needed
• Completing physical asset forms
• Maintaining financial records for Awards and Recreation fund
DYTR - 37
• Maintaining parental assessment financial records
• Coordinating Risk Management paperwork ( this will be significantly reduced by a
Department of Administration Risk Management recommendation)
• Reconciling local bank checking accounts
• Maintaining monthly worksheet for National School Breakfast/ Lunch Program
• Tlmekeeplf) g for Business Office personnel
• Maintaining manual financial ledgers
• Reconciling manual ledger with automated STARS printouts on a monthly basis
• General supervisory and managerial duties.
The combined three person staff at Catalina Mountain reported that they spend approximately 400
hours per month in total executing the duties listed above. The 80 hours per month that were left
unaccounted for ( 3 persons X 160 hours/ month = 480 hours/ month of available time) represent a
combination of Idle time and under- estlmatlng of the specific duties performed on the part of the staff. During
the one day that these individuals were observed performing their responsibilities, very little Idle time was
apparent.
The staff of the Adobe Mountain/ Black Canyon Business Office reported that only 200 hours per
month were required each month by the combined staff to execute the duties listed above. Once again,
the 600 hours per month left unaccounted for ( 5 persons X 160 hours/ month = 800 hours/ month of
available time) represent a combination of Idle time and under- estlmatlng of the specific duties performed
on the part of the staff. During the two days this staff was observed performing their functions, It was
apparent that a great deal of Idle time exists In this Business Office.
The contrast between the Catalina Mountain Business Office and the Adobe Mountain/ Black
Canyon Business Office was remarkable. Whereas the Catalina Mountain Business Office staff appears to
DYTR · 38
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be fully loaded with work throughout the work day and dUigently pursues their responsibUities, the Adobe
Mountain/ Black Canyon Business Office appears to have an excessive amount of idle time built into their
workday. This is not to say that the workers are not dUigent in the pursuit of their duties. However, the office
Is over- staffed to such an extent that the workers have no difficulty in completing their work each day with
excessive amounts of time left over.
There is no performance reporting system In place to enable the Business Office Manager ( the
Administrative Services Officer II) to monitor and measure the relative workload and performance of the staff
members. This makes It very difficult to determine the appropriate staffing level relative to the existing
workload.
The manual ledgers that are maintained and reconciled at both Adobe Mountain/ Black Canyon and
Catalina Mountain are entirely unnecessary. These ledgers are maintained because of the distrust the
Business Offices have for the Agency's Central Office Accounting staff. Apparently the Central Office has
made accounting entries in the STARS system in the past that resulted in errors appearing in the accounts
of the institutions that were discovered whUe reviewing the monthly STARS reports. As a result, both of the
Business Offices have developed manual ledger systems to supplement the STARS system. The Fiscal
Services Specialists use the ledgers to enter and track the entries they make In the automated STARS
system. In this way, they can compare the manual ledger with the monthly STARS reports to determine if
the Central Office has made any entries that affected their accounts. It was reported that approximately 12
hours per month is spent maintaining and reconciling the manual ledgers. Although an entry by the Central
Office is found occasionally, It is typically a correct and legitimate entry. These entries are normally to
proportionately allocate the costs of telecommunications and computer services to the institutions.
Recommendation
We recommend that the use of the manual ledgers by the Business Offices be discontinued. We
further recommend that, If the Central Office finds it necessary to make STARS entries that wUl affect the
accounts and budgets of the institutions. they notify the appropriate Business Office so they are aware of
the transaction.
In regard to the over- staffing situation in the Adobe Mountain/ Black Canyon Business Office, we
recommend the following staffing modifications:
• Do not fill the vacant Accounting Technician II position
DYTR - 39
• Eliminate the currently filled Accounting Technician II position
• Eliminate one of the two Fiscal Services Specialists III positions
• Downgrade the Administrative Service Officer II to an Administrative Service Officer I
position ( to be consistent with the staffing In the Business OffIce at Catalina Mountain) and
eliminate the Administrative OffIcer II position
• Do not lUI the other vacant Administrative ServIce Officer I position
• Retain the Accounting Technician III position
These changes will result In staffing the Adobe Mountain/ Black Canyon Business OffIce with the
same size staff as Catalina Mountain ( one Administrative Services Officer I, one Fiscal Services Specialist
III and one Accounting Technician III ( see exhibit 8, Adobe Mountain/ Black Canyon Business Office ­Proposed
Organizational Structure).
Although Adobe Mountain/ Black Canyon has approximately twice as many jlNenlles as Catalina
Mountain, there should be no reason that the gross number of accounting transactions would also be twice
that of Catalina Mountain. Although It would be expected that there would be some Increase In the number
of transactions, It should not be double ( however, the dollar value of the transactions would be expected
to be higher). Considering that the Catalina Mountain staff of three Is not fully loaded with work at current
volumes, we believe that the suggested staffing changes at Adobe Mountain/ Black Canyon will be sufficient
to handle the current volume of work.
To ensure that the staffing levels are correct, we recommend that a performance monitoring system
be developed and Implemented at both Adobe Mountain/ Black Canyon and Catalina Mountain. This system
should enable the Business Manager to:
• Track the volume of each type of work performed by the Business Office staff
• Evaluate the effectiveness of the staff In completing the work In a timely manner
• Determine the appropriate staffing level as work volumes Increase or decrease.
DYTR - 40
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Eliminating the unnecessary manual ledgers being maintained at the Institution's Business Offices
wli result In providing the staff of each of the offices with an additional 12 hours of time each month that
can be devoted to their other responslbUltles.
Eliminating the over- staffing situation at the Adobe Mountain/ Black Canyon Business Office will
result In annual savings of $ 54,338 plus the avoided cost of not filling the two vacant positions of $ 49,573.
Adobe MOYntaln/ Black Canyon
Accounting Technician I
$ 13,548 + 28% ERE ($ 3793) = $ 17,341 ( vacant)
$ 14,481 + 28% ERE ($ 4054) = $ 18,535
Fiscal Services Specialist III
$ 22,274 + 28% ERE ( 6236) = $ 28,510
Administrative Services Officer I
$ 25,182 + 28% ERE ($ 7050) = $ 32,232 ( vacant)
Downgrade Administrative Services Officer II to Administrative Services Officer I
$ 39,525 - $ 32,232 = $ 7,293
• Develop procedure for Central Office to alert Business Offices of STARS accounting entries
made In the Central Office
• Eliminate use of manual ledgers at the Business Offices
DYTR - 41
•
•
Consolidate Adobe Mountain/ Black canyon Business Office work responsibUities into the
three remaining positions
Develop performance monitoring system for catalina Mountain and Adobe Mountain/ Black
canyon Business Offices.
DYTR - 42
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INSTITUTION MAINTENANCE
Current Situation
The Maintenance Department at Catalina Mountain is staffed with one Physical Plant Supervisor II,
three BuDding Maintenance Technicians II and one Welder. This permanent staff is currently being
supplemented with one temporary maintenance worker. The Maintenance Department reports to the
Business Manager.
The Physical Plant Supervisor has developed a maintenance backlog system that lists all
outstanding maintenance projects on a board in the Maintenance Department. As maintenance jobs or
projects are Identified, they are added to the board and removed when they are completed. Although no
estimates are made of the time required to complete the jobs on the board, It does serve to provide a
degree of visibility of the outstanding work to be performed by the Maintenance Department.
In addition to the backlog system, there is a Maintenance Work Order system in place. The Work
Order system enables any individual within the institution that notices an Item that needs repair to bring the
Item to the attention of the Maintenance Department by completing a Work Order Request.
Each morning, the Physical Plant Supervisor reviews the Items on the Backlog Board, and any
outstanding Work Order Requests, and prioritizes the work to be done for that day. He then assigns the daily
work to the Maintenance Technicians and the Welder. Although no attempt Is made to estimate the amount
of time reqUired to complete the work assigned to each worker, the Supervisor does follow up periodically
with each Technician to ensure that appropriate progress Is being made on each assignment. The
Equipment Mechanic does not take part in this assignment system and prioritizes his own work on a daily
basis.
Although we were told that a Preventive Maintenance system is In place, It Is not a centralized
system that enables the Supervisor to periodically review which equipment needs attention and assign the
work accordingly. Instead, there Is a log on each piece of equipment that enables a Technician to Indicate
when work has been performed on the equipment.
The Maintenance Department at Adobe Mountain Is staffed with one Physical Plant Supervisor III,
one Physlc. a! Plant Supervisor n. seven Bulld! ng Maintenance Techn! d: lns II ( one poslt! on Is vacant) and one
Clerk Typist I. Also reporting to the Physical Plant Supervisor III at Adobe Mountain Is the Maintenance
DYTR · 43
Department at Black Canyon. This crf1' N consists of one Physical Plant Supervisor I, one BuUding
Maintenance Technician II and one Correctional Work Projects Specialist ( currently being staffed with one
Youth Corrections Officer II). Both of these maintenance groups report to the Business Manager at Black
Canyon through the Maintenance Supervisor III at Adobe Mountain.
Our intervif1' N with the Physical Plant Supervlsor III at Adobe Mountain revealed no reasonable
explanation why a Clerk Typist was required In the Maintenance Department. The only project on which she
Is currently working involves typing information from the Work Orders into a personal computer. This project
Is resulting in nothing more than a list of Work Orders that have been completed. No cost data is being
Input and It is not being entered Into a data base type system that can be used to access or manipulate any
statistical Information. The data that is being Input Into the computer Is the same as that on the hard copies
of the Work Orders, provides no nf1' N Information and serves no useful purpose.
No backlog system has been established at either Adobe Mountain or Black Canyon that provides
v1sibUity of the maintenance work or projects that need to be performed at these facUlties. Although there
is a Work Order request system, no attempt is made to estimate the time required to complete the work
requested. The work orders are simply handed out to the Maintenance Technicians and they are allowed
to complete the work at their own pace.
The Physical Plant Supervisor I at Black Canyon has created a Preventive Maintenance system for
all of the equipment at that facility. The system consists of a logbook that contains a separate sheet for
each piece of equipment. The sheet details the type of maintenance service that is required and what the
required interval is between services. A review of the Preventive Maintenance sheets indicates that the
system is being actively used to maintain the equipment at Black Canyon. No such system exists at Adobe
Mountain.
The Physical Plant Supervisor II at Adobe Mountain reported to us that he frequently uses the
services of outside contractors to supplement the work being performed by the Building Maintenance
Technicians. He told us that he does this primarily because of the lack of expertise among his Maintenance
Technicians. Accounting records maintained by the Business Manager at Black Canyon indicate that over
$ 100,000 has been spent thus far this fiscal year for outside maintenance services at the Adobe Mountain
and Black Canyon institutions. Intervif1' Ns with several of the Maintenance Technicians indicated, however,
that most of the work being contracted out could have been performed by the on- staff Technicians. The
Physical Plant Supervisor at Catalina Mountain told us that he rarely contracts out for maintenance services.
He reported that his resident staff has the expertise to perform almost all of the work necessary at the
DYTR - 44
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Catalina Mountain facility. The only exception is the annual service contract for the fire safety system.
ArIzona law requires that a certified technician perform all maintenance on fire safety systems and there are
no such certified technicians on the staff of any of the Department of Youth Treatment & RehabUitation
Institutions. Adobe Mountain & Black Canyon also have a service contract for their fire safety systems.
The Central Office Management Services branch of Support Services has one BuDding Plans
Coordinator I ( currently vacant). The Individual that fills this position has overall responsibility for the
following activities:
• Coordination of all new construction
• Coordination with all regUlatory agencies regarding maintenance and construction matters
at the institutions
• Coordination with local Fire Marshalls for inspection and repair of the fire safety systems
• Cost estimating for all construction projects
• Coordinating all RFPs and proposals for outside engineering services
• Reviewing and approving all maintenance plans and projects
• Formulating all Agency policy regarding facility maintenance and repair
• Creating capital budget requests.
The recently appointed Director of the Department of Youth Treatment & RehabUitation has
formulated a plan to create a new position within the Agency Onstitutional Management Services Manager)
that will have overall responsibUIty for all Institutional maintenance and be responsible for managing the
Maintenance Departments at all of the Agency's Institutions. It is envisioned that this Individual will also
manage all accounting, purchasing, warehouse, maintenance, food service and personnel functions at the
Agency's institutions.
DYTR - 45
Impact
Failure to maintain a backlog system of maintenance projects and work to be completed makes
It difficult to:
• Prioritize the work necessary to proper1y maintain the institutions
• Accurately determine the necessary dollar amount to budget for Institution maintenance
• Measure performance of the maintenance departments at each Institution.
Furthermore, having a backlog system that lacks an estimate of how much time is expected to be
consumed by each project or Work Order makes It difficult to:
• Determine appropriate staffing leVels
• Accurately determine reasonable daily work assignments.
Failure to develop and diligently use an adequate Preventive Maintenance system has contributed
to the generally poor condition of the institutions of the Department of Youth Treatment & Rehabilitation.
This results in higher maintenance costs due to equipment failure and downtime of required systems. Youth
health and safety issues have also been negatively impacted In the past ( air conditioning and fresh water
delivery systems) by the lack of proper maintenance techniques.
The significant use of outside service providers to perform maintenance work at the Adobe
Mountain and Black Canyon Institutions has resulted from one of two situations. Either the current
maintenance staff does not have the skills necessary to maintain the facilities or the maintenance staff is
not being utilized effectively. In either case, the result is an unnecessarily high cost to maintain these
Institutions.
Recommendation
We concur with the Director's plan to create a new position of Manager of Institutional Management
Services. We recommend that this individual assume the duties previously performed by the now vacant
DYTR - 46
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BuDding Plans Coordinator I position. This newly created position should also provide the management
framework and performance expectations for the maintenance function at all of the Agency's institutions.
Each institution should then have a working maintenance Leadperson reporting to the Manager of
Institutional Management Services, but coordinating activities with the management team of the institution.
This Leadperson will be responsible for prioritizing, making and following up on daUy work assignments for
each of the Maintenance Technicians as well as spending 80- 90% of the day performing maintenance work.
Prioritization and assignment of large scale projects will be made by the Manager of Institutional
Management Services. If possible, this position should be filled from within the Agency.
We recommend that the Manager of Institutional Management Services develop and implement a
Maintenance Backlog System for each institution as soon as possible. This backlog should consist of all
maintenance projects that are currently necessary to be performed in order to bring the physical state of
each institution up to an acceptable level. " Acceptable" level of maintenance should be judged in terms of:
• Health and safety of the juveniles
• Health and safety of the staff
• Cost effective maintainability of the institutions
The backlog system should have an " estimated time to complete" associated with each project and,
wherever possible, a cost estimate as well. The projects on the backlog system should then be used, in
conjunction with the Work Orders that are received, to create the daily work assignments for the
Maintenance Technicians.
We also recommend that the Manager of Institutional Management Services ensure that a
Preventive Maintenance system is developed, installed and property administered at each of the institutions.
In order to reduce the dependence on outside maintenance contractors, we recommend that a
" SkUls Matrix" be developed for each of the Agency's Institutions. This matrix should list all of the skills that
are necessary to property maintain each of the Agency's institutions. It should also list all of the skills that
are currently resident in each of the Maintenance departments. To the extent that certain required skills are
not currently resident within the Agency, we recommend that one of two options be pursued:
DYTR - 47
• Arrange for necessary training for the current Maintenance Technicians
• Replace the current maintenance staff with appropriately skUled Maintenance Technicians.
We recommend that the Physical Plant Supervisor III position at Adobe Mountain be eliminated after
the Manager of Institutional Management Services Is brought on board.
We also recommend that the one Clerk Typist I position at Adobe Mountain be eliminated.
Benefit
Transferring responsibility for all institution maintenance to one Individual will result In:
• A degree of continuity of maintenance service that has not existed previously
• Better coordination of Agency- wide maintenance resources
• A greater ability to manage and appropriately allocate the Agency's maintenance budget
• Better accountability for the performance of the institution's maintenance departments.
Creating a properly administered Preventive Maintenance program will result in:
• Longer life of the Institution's physical plant, buildings and related systems
• Reduced repair and replacement costs
• Enhanced maintainability of the institution's systems
• Greater up- time for those systems that relate to the health and safety of the juveniles.
DeVeloping and properly administering a Maintenance Backlog System will enable the Manager of
Institutional Management Services to:
• Accurately determine the necessary dollar amount to budget for Institution maintenance
DYTR - 48
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• Accurately determine the necessary dollar amount to budget for institution maintenance
• Determine appropriate staffing levels
• Prioritize the work necessary to proper1y maintain the institutions
• Accurately determine appropriate dally work assignments
• Measure performance of the maintenance departments at each institution.
Developing and proper1y using a Maintenance Skills Matrix wUl enable the Manager of Institutional
Management Services to:
• Objectively evaluate the maintenance skills currently resident within the Agency
• Appropriately deploy those skills to maintain the Agency's institutions
• Provide for training to enhance and augment the current skill base
• Replace inappropriately skilled personnel where necessary
• Use outside maintenance contractors on a more selective basis than is currently being
done.
We believe that it should be possible to reduce the current dependence on outside maintenance
contractors by at least 50% which would result in annual savings of approximately $ 50,000.
Eliminating the one Physical Plant Supervisor III position will result In annual salary savings of
$ 34,559 and ERE savings of $ 9676 for a total labor savings of $ 44,235.
Eliminating the one Clerk Typist position will result In annual salary savings of $ 12,792 and ERE
savings of $ 3581 for a total labor savings of $ 16,373.
The total comblnoo & avlngs that wiU resutt from thass recommendations is $ 110,608 ($ 16,373 +
$ 44,235 + $ 50,000).
DYTR - 49
Implementation
• Recruit Manager of Institutional Management Services from within the Agency ( If possible)
to avoid adding unnecessary staff
• Develop Maintenance Skills Matrix
• Evaluate the skills of the current Maintenance Technicians
• Replace Technicians as necessary
• Develop, Install and administer Preventive Maintenance Program
• Develop, Install and administer Maintenance Backlog system
• Eliminate Physical Plant Supervisor iii position
• Eliminate Clerk Typist position.
DYTR - 50
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ALAMO MENTAL HEALTH FACIUTY
Current Situation
Those jLNenUes committed to the Department of Youth Treatment & Rehablltatlon that are deemed
to be In need of mental health treatment are assigned to the Alamo Institution In Phoenix. This quite old,
very rundown Institution Is currently being run by approximately 45 staff members and usually houses
between 20 and 30 jLNenUes at any given time.
The Department of Youth Treatment & RehabUltatlon currently pays $ 70,000 per year to rent the
Alamo facility. An additional $ 95,330 Is spent for repair, maintenance, utilities and related operating
expenses for a total outlay of $ 165,330 per year to operate this facility.
The institution at Black Canyon that is used to house girls that are committed to the Department
of Youth Treatment & Rehabilitation consists of two cottages, each with a capacity of 60 youth. Although
both of the cottages are relatively new and In excellent condition, the number of girls that are currently
institutionalized ( typically between 40 and 50) only warrants the use of one cottage. The other cottage is
locked and sits vacant.
The new Director of the Department of Youth Treatment & Rehabilitation has proposed closing the
Alamo facility and moving those jLNeniles currently housed at Alamo to the one vacant cottage at Black
Canyon. The three primary reasons for his proposal are:
• The youths would be housed In a physically safer, cleaner and healthier facility than is
currently available at Alamo
• There are substantial dollar savings associated with closing Alamo and moving the
jLNenlles to Black canyon. These savings consist of:
Elimination of the annual rental charge
Elimination of the ever increasing operating expenses
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Reduction of duplicate staff.
.~ Batter t. 1: lIizatlon of the Black Canyon facUfti.
DYTR - 51
Impact
The Budget Office of the Department of Youth Treatment & Rehabilitation has performed a cost
analysis detailing the potential savings that could be realized from closing the Alamo facUlty and moving the
jwenUes to the vacant Black canyon cottage. The savings consist of the following components:
• Elimination of rent and operating expenses at Alamo
Gross reduction of $ 165,330 per year
• Incremental additional cost of opening and operating the second Black canyon cottage
Gross additional cost estimated to be $ n, 270 per year
Annual gross savings of $ 165.330 less additional gross annual cost of $ n, 270
results in a net annual savings of $ 88.060 for rent and operating expenses
• Elimination of those Alamo staff positions that are currently duplicated at Black canyon
and would not need to be replaced If the Alamo facility was absorbed by the Black Canyon
operation. If the same number of juveniles that are currently housed at Alamo were moved
to Black canyon. approximately 28 staff members would need to be moved from the
Alamo facility to Black canyon and 17 positions could be eliminated. These position
eliminations would result in an annual savings of approximately $ 570.086. If the number
of juveniles requiring mental health treatment were increased after the move to Alamo. the
savings outlined above would be decreased somewhat due to the additional staff that
would be required.
Therefore. continuing to operate the antiquated facUity at Alamo results in an estimated additional
cost to the Department of Youth Treatment & Rehabilitation of $ 658.146 per year ($ 88.060 for rent and
operating expenses plus $ 570.086 for salary and 28% ERE =$ 658.146).
Recommendation
We concur with the Director's proposal to close the Alamo facility and movethe youth housed there
to the vacant Black canyon cottage. We recommend that this proposal be acted upon at the earliest
possible opportunity to take full advantage of the potential savings.
DYTR - 52
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We also concur with the Director's proposal that the 17 duplicate staff positions be eliminated when
the Alamo facUlty is closed. Once again, this staff reduction assumes that the number of jwenKes requiring
mental health treatment would remain constant We recommend deVeloping a staffing algorithm that would
enable the Black Canyon management to determine the appropriate staffing level as the jwenUe population
Increases or decreases.
Benefit
The potential benefits that can be realized by the Department by closing the Alamo facUlty Includes
the following:
• Provision of a safer, cleaner, heaJthler and more cost effective facility for those mental
health youths currently committed to the care of the Department of Youth Treatment &
RehabUltation
• Elimination of rent and operating expenses at Alamo ($ 165,330 per year) less the additional
cost of opening and operating the second Black Canyon cottage ($ n, 270 per year) will
result in a net annual savings of $ 88,060
• Elimination of 17 Alamo staff positions that are currently duplicated at Black Canyon and
would not need to be transferred If the Alamo facility was absorbed by the Black Canyon
operation will result in a net annual savings of approximately $ 570,086. The positions that
can be eliminated ( assuming the juvenile population remains the same as today) and the
annual dollar savings associated with each position are:
( Dollar figures shown include 28% ERE)
Accounting Technician ($ 25,067)
Administrative Secretary II ($ 22,384)
BuDding Maintenance Tech III ($ 31,441)
Business Manager ($ 29,744)
Chaplain ( cost for eliminating this Chaplain position has already been accounted
for in the previous CHAPLAIN SERVICES Recommendation)
Clerk Typist!! ($ 21.025)
Correctional Medical Assistant ($ 34,668)
DYTR - 53
Correctional RN Supervisor II ($ 44,019)
One Correctional Registered Nurse ($ 41,922)
Two Correctional Registered Nurse ($ 41,922)
Three Correctional Registered Nurse ($ 29,744)
Physical Plant Supervisor II ($ 31,709)
Psychologist II ($ 40,710)
One Psychology Associate II ($ 30,191)
Two Psychology Associate II ($ 30,191)
Storekeeper ($ 23,750)
Superintendent ($ 54,400)
Training Officer ($ 37,199)
Total annual savings associated with eliminating these duplicate staff positions is $ 570,086.
Implementation
• Inspect vacant Black Canyon cottage and determine whether the Maintenance Department
needs to take any action to ensure that the cottage is serviceable and ready to be
Inhabited
• Complete necessary maintenance items ( if required)
• Determine which individuals will be transferred from the Alamo facility to Black Canyon
• Develop staffing algorithm to determine appropriate staffing level
• Develop plan to physically transfer juveniles from the Alamo facUity to Black Canyon
• Develop " shutdown plan" for Alamo facUity to ensure that the building and grounds are
vacated and shutdown In a safe and orderly manner.
DYTR · 54
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CENTRAL OFFICE PROCUREMENT & FIELD PROCUREMENT
Current Situation
The purchasing functions at Catalina Mountain are currently handled In a decentralized fashion with
the various department heads ( Administration, Mainteriance, Warehouse, Vehicle Maintenance, Cottage
Supervisors and Food Services) completing a Purchase Requisition after reviewing the state contract listing
or consufting with known vendors. If the goods to be purchased are not covered under a state purchase
agreement and will cost more than $ 500 ( but less than $ 2500), at least three vendors are contacted to obtain
competitive pricing for the goods. After a vendor has been selected, the Purchase Requisition is sent to the
Business Manager for review and approval. If the Items to be purchased are less than $ 2500 or are covered
under a state purchase agreement, the Business Manager ( or the department head in some cases) will place
the order directly with the vendor. When the purchase Is greater than $ 2500 ( but less than $ 10,000), the
Purchase Requisition Is sent to the Procurement group at the Agency's Central OffIce for processing.
Purchases greater than $ 10,000 are not handled at the Agency level but are sent to the State Procurement
OffIce for processing. Since the beginning of the current fiscal year on July 1, 1991, the Catalina Mountain
Business OffIce has processed 356 Purchase Requisitions or approximately 11 per week. No data was
available regarding the number of Purchase Requisitions over $ 2500 that were sent to the Central Office,
but we were told that these are minimal and rarely are Purchase Requisitions sent to Phoenix for processing.
The vast majority of Purchase Requisltinns are for routine Items and are handled out of the Business Office
at Catalina Mountain.
The Purchasing functions at Adobe Mountain and Black Canyon institutions are being handled in
a more centralized manner by one Buyer II physically located at Black Canyon and one Buyer Assistant
( currently vacant). The Buyer processes approximately 143 Purchase Requisitions each month or about 36
per week. The majority of these Requisitions are for either routine operating supplies that are purchased
on a regular, recurring basis or maintenance Items used to repair or maintain the facilities. In addition to
processing Purchase ReqUisitions, the Buyer also periodically creates Requests for Quotes ( RFQ) and
Invitations for Bk: Js OFB) when items costing more than $ 500 that are not on a state contract are being
purchased. No data was avaUabie on the number of RFQs or IFBs processed by this Buyer.
The Central Office Procurement function Is comprised of a Buyer III and a Buyer II. These two
Buyers combined process approximately 140 Purchase Requisitions per month or about 35 per week ( the
same number haridled by tha soia Buyer at Biack Canyon). These Buyers also prepare lFBs and RrCEo as
required. No data was available on the volume of RFQs or IFBs prepared by the Central Office Buyers.
DYTR · 55
In addition to the two Buyers In the central OffIce, there are two Contract Management Specialists
II, one Contract Management Specialist III, one Contract Management Supervisor, two Information
Processing Specialists II ( one of which Is vacant), one Administrative Assistant I and one Administrative
Secretary I ( currently vacant). These Individuals are responsible for:
• Creating and disseminating Requests for Proposals ( RFP) and Requests for Quotes ( RFQ)
for services requested by the various departments within the Agency
• Coordinating the evaluation and selection process after vendors have submitted their
proposals
• Maintaining the contract flies after a vendor has been selected ( this consists largely of
insuring that required insurance and licenses are kept current by the selected vendors).
Although there was no statistical data available to measure the performance or the volume of work
processed by this group, we were told that the two Contract Management Specialists II have processed a
total of seven RFPs since they began working with the Agency. One of the Specialists has been working
with the Agency since July 1, 1991 and has processed four RFPs and the other Specialist, who started on
September 1, 1991, has processed three RFPs. No data was available for the workload of the Contract
Management Specialist III or the Contract Management Supervisor.
The Contract Management Specialists reported that 85% of the work for which the Contract
Management group Is responsible comes from the Purchase of care group. The Purchase of care
department writes the specific program requirements for the services they desire and send these
requirements to the Contract Management Specialists. The Specialists then create an RFP or RFQ that
combines the specific program requirements provided to them with the standard state- mandated RFP
" boilerplate" paragraphs.
Impact
The catalina Mountain staff is to be commended for their apparent ability to manage the purchase
of goods in the decentralized manner currently being employed. One of the reasons that this system works
Is that each of the departments has been provided with the annual budget information for their area of
responsibility ( as mentioned Inthe Departmental Budget Responsibility point). This enables them to manage
the funds allocated to their area, to monitor the sums being spent and to determine whether there are funds
DYTR - 56
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avaUabie for the purchase of goods. It also provides the appropriate incentive to purchase goods at the
lowest possible cost. The other reason this decentralized system works is that the departments have been
provided with the names of the vendors that supply the goods they use. The departments are then able to
contact the vendors directly to ascertain avaHabUity. current pricing and delivery schedules. This is an
excellent example of placing the responslbHity for an activity at the lowest level that is appropriate for Its
efficient execution.
At both Adobe Mountain and the central Office, budget information is not made avaUable to the
department heads. This makes it impossible for the various departments to manage the funds allocated to
the areas and provides no Incentive to manage to a specific budget. Because the vendor information Is also
not available, it makes It Impossible for departments to have direct contact with the vendors that supply their
goods. Consequently, both the central Office and Adobe Mountain ( Black Canyon) are staffed with Buyers
to manage the purchasing functions when there is actually a very small volume of work to be processed.
The technical aspect of 85% of the RFPs issued by the Contract Management group ( purchase of
Care RFPs) is being created by the Purchase of Care department with only standard - boilerplate- RFP
language being added by the Contract Management Specialists. Maintaining a staff of three Contract
Management Specialists, a Supervisor and three clerical support staff ( one position Is currently vacant) does
not appear to be justified considering the small volume of work that is actually processed by this group.
Recommend. tion
We recommend that more of the routine items being purchased by the Institutions that are not
currently covered under a statewide purchasing agreement be Incorporated Into statewide purchasing
contracts. This task can be handled by the State Procurement Office in the Department of Administration.
This will facilitate the purchase of goods by the institutions and eliminate the necessity for going out for
competitive bids more than once per year.
We recommend that the Buyer II position and the vacant Buyer Assistant position at Black Canyon
be eliminated. The purchasing duties currently being performed by the Black Canyon Buyer should be
shifted to the various department heads and be performed in a manner slmUar to that which is currently
being conducted at the Catalina Mountain Institution. This process will become even more routine than It
currently Is after more of the regularty used items are covered under statewide purchasing agreements.
DYTR · 57
We recommend that the relatively small amount of RFP production currently being handled by the
Contract Management group be transferred to the State Procurement OffIce In the Department of
Administration. The various departments within the Agency that need to contract out for services ( primarily
the Purchase of Care group) should continue to prepare the detaUed contract requirements as they are
currently doing. However, they should be submitted to the State Procurement OffIce Instead of the Contract
Management group.
A performance monitoring system should be established to ensure that the State Procurement
OffIce provides the level of service required to meet the goals of the Agency. To the extent that the State
Procurement OffIce can provide the appropriate level of service. It should not be necessary to maintain an
entire Contract Management group within the Agency.
The one function of the Contract Management group that should remain the responsibility of the
Agency Is the monitoring of the licenses and Insurance of the vendors with which the Agency does business.
Now that a tracking system has been put Into place, this should not consume very much time. We
recommend that the proposed Internal Audit group assume this responsibility as one of the components of
their program review function.
Benefit
Transferring the responsibility for purchase of goods to the individual department heads at Adobe
Mountain and Black Canyon will enable the elimination of the two Buyer positions ( one of which is vacant).
Eliminating the currently filled Buyer position at Black Canyon will result In an annual savings of $ 25,466 and
not filling the vacant Buyer Assistant I position will result In annual savings of $ 19,880 for a total of $ 45,346.
Transferring the responsibility for RFP production and Contract Management to the State
Procurement OffIce in the Department of Administration will enable the elimination of the entire Contract
Management group. Eliminating the currently filled Contract Management department positions at the
central OffIce will result In an annual savings of $ 181,170 and not filling the two vacant positions will result
In annual cost avoidance of $ 38,414 for a total of $ 219,584.
The total combined savings of these recommendations Is $ 264,930.
DYTR - 58
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DYTR - 59
Procurement Offlcs
• Assign responslbUIty for negotiating all service contracts and other purchases to the State
$ 15,531 + 28% ERE ($ 4349) = $ 19,880
$ 38,068 + 28% ERE ( 10,659) = $ 48,727
$ 19,895 + 28% ERE ($ 5571) = $ 25,466
$ 25,182 + 28% ERE ($ 7,050) = $ 32,232
$ 26,403 + 28% ERE ($ 2,112) = $ 28,515
$ 24,065 + 28% ERE ($ 6,738) = $ 30,803
$ 15,531 + 28% ERE ($ 4,348) = $ 19,879
$ 15,330 + 28% ERE ($ 4,292) = $ 19,622
$ 14,481 + 28% ERE ($ 4,054) = $ 18,535
$ 16,618 + 28% ERE ($ 4,653) = $ 21,271
• Train department and Bureau managers to more fully administer the requisition of goods
and services that are reqUired by their areas of responslbUIty. This wUl Include, In some
cases, routine contacts with appropriate vendors
Buyer Assistant I ( vacant):
One Contract Management Supervisor:
Buyer II:
One Contract Management Specialist III:
• Determine which routinely purchased goods not currently on state contract can be
Incorporated Into a state purchasing agreement
Two Contract Management Specialists II:
Two Information Processing
Specialists II ( vacant):
One Administrative Secretary I ( vacant):
One Administrative Assistant I:
Black Canyon
Centra! OffIce
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•
•
Develop a simple performance monitoring system to ensure that the SPO handles the
Agency's purchasing needs In an effective and efficient manner
Transfer responsiblity for monitoring the licenses and Insurance coverage of outside
vendors to the proposed Internal Audit group.
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JUVENILE RECORD MAINTENANCE
Current Situation
When a youth enters the custody of the Agency, a file Is created to receive and store all of the
records pertaining to the youth's Case Management. These records can consist of such documents as:
• Commitment documents
• Court documents
• Incident Reports
• Monthly Summaries
• Outside Service Reports
• Diagnostic Reports
• Psychology Reports
• Chronos.
There are currently at least three copies of each file ( a Master File and a Purchase of Care File
maintained in the Central Office in Phoenix and a Field FOe maintained at the institution where the youth is
IMng). In some cases, a fourth file Is created for the Parole Officer.
Approximately 88% of the documents that are contained within the flies are handwritten by the Case
Workers. Case Managers, Psychologists or Parole OffIcers. A small number of these documents are placed
directly into the Field FHe in handwritten fonn while the majority are forwarded to the Records Oerks In the
Institution to be typed. After the documents have been typed, they are returned to the originator for review.
In many cases, the originator edits the typed copy and returns It to be retyped. After the document meets
the satisfaction of the originator, It Is copied so that the other flies ( Master FHe and Purchase of C. are File)
can receive a copy of each document ( any documents that were not typed are also copied for the other
DYTR - 61
fUes). The original Is then fUed In the Field FUe and the copies are forwarded to the central Office to be filed
In the two flies which reside there. Approximately 12% of the documents that are placed in a youth's file
are created by being dictated and then typed by one of the Records Room personnel rather than being
handwritten by the originator. In a very few cases, the documents are typed by the originator.
The central Office FUe Room Is staffed with two CorrectIonal Records Clerks who are responsible
for receMng and filing all of the copies that are sent from the Institutions. In addition, they are responsible
for maintaining the flies for youths that have been released from the Institutions but have not yet reached
the age of 23. When a youth that has been released from one of the juvenUe correctional Institutions
reaches the age of 23 and has not been referred to an adult correctional Institution, their record Is destroyed
by the central Office. If the youth has been referred to an adult institution prior to reaching the age of 23,
the record is forwarded to the Department of Corrections.
Adobe Mountain has a Records Room that is currently staffed with two Record Clerks II, one Clerk
Typist II, two Information Processing Specialists II and two Information Processing Specialist I ( one position
is vacant). These Individuals are supervised by one Correctional Records Technician. One of the Records
Clerks has been on maternity leave since January 1992 and one of the Information Processing Specialists
has been on medical leave since February 1992.
Black Canyon has a Records Room that is currently staffed with one Correctional Records
Technician.
Catalina Mountain has a Records Room that is currently staffed with one Correctional Records
Technician and two Clerk Typists II.
The Records Room staff are responsible for:
• Creating new files on Incoming juveniles
• ReceMng all incoming documents
• Typing all documents as directed by the Case Workers, Case Managers or Parole Officers
• Updating juvenile information in the AIMS automated tracking system
DYTR - 62
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• Sorting the incoming mall
• Reception duties ( catalina Mountain only).
' mPlet
There are several negative aspects to administering the jLNenUe files in the manner described
above. Among these are:
• Maintaining more than one file on each jLNenUe within the system has resulted in none of
the fOes being completely accurate. It was reported to us that it Is a common occurrence
for documents to be found in one of the youth's fOes but not in the other files.
Consequently, anyone reviewing one of the files can not be certain that all of the
documents are present in the file they are using. Additionally, the need to maintain several
fOes on each youth ( Field FUe, Master FUe and Purchase of care File) has resulted in a
larger than necessary staff at Adobe Mountain and catalina Mountain ( to copy and forward
documents to the Central Office) and at the Central Office ( to receive, fOe and maintain the
documents sent from the institutions)
• Requiring the documents in the jLNenlle's file to be typed rather than handwritten ( or
entered into a Personal Computer and printed by the originator) has resulted in the need
to have a staff of Information Processing Specialists and Typists at Adobe Mountain and
catalina Mountain.
Recommendation
We recommend the following changes in the maintenance of JLNenlle records:
• Only one fOe should be maintained on each youth. The file should be maintained at the
Institution by the case Managers and case Workers who are assigned to the youth ( rather
than in a central Records Room). The ties should be maintained In the secure cottage
office where the case Managers and Workers are assigned.
DYTR - 63
•
•
•
•
The only records that should be maintained at the Central OffIce are those of juvenUes who
have been released from the Agency's Institutions.
The Central OffIce Record Room should be staffed with only one person Instead of the
current two people. This Clerk should be responsible for:
Maintaining the records of those juvenUes who have been released from the
Agency's Institutions
Forwarding to the Institutions for Insertion into the youth's file any documents
received from outside sources such as courts, pollee agencies, etc.
When a juvenile Is committed to an institution the Case Manager assigned to that youth
should be responsible for creating the original file and Inserting the appropriate
documentation as it is generated. As the various Case Workers or other Agency personnel
create documentation that Is to be Inserted in the file, they should do so In Its final form,
I. e., In either a legible handwritten form or In a typed form and insert It directly into the
juvenUe's file. The preferred method would be to enter the data directly into a Personal
Computer and print the results for inclusion in the juvenHe's file. Some of the cottages are
currently equipped with Personal Computers. For the Case Workers assigned to cottages
that are not so equipped, they should use one of the PCs In the institution administration
building.
Transferring the responsibility for file maintenance to the Case Managers and Case
Workers wUl eliminate the need to have a staff of Clerk Typists and Information Processing
Specialists at the Institutions to type the handwritten documents that are currently being
submitted to them. The Institution's Record Room should be responsible only for:
Receiving documents from outside sources or the Central OffIce
Forwarding these documents to the Case Managers for Insertion Into the youth's
tHe
Miscellaneous clerical functions ( mall handling, reception duties, etc.)
DYTR - 64
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We recommend that the Institutions Records Rooms be staffed as follows:
Benefit
• Greater accuracy of the one remaining file
• Elimination of the extra steps and personnel currently Involved In record preparation,
typing, filing and maintenance
DYTR · 65
one Records Technician
one Records Technician
one Records Technician
5 Oerk Typists II' $ 7315 + 28% ERE ($ 2048) = $ 9363
Catalina Mountain:
Adobe Mountain:
Black Canyon:
•
•
•
• Elimination of 8.5 unnecessary staff positions that are currently fUled for an annual savings
of $ 156,543 and one currently vacant position for an annual savings of $ 17,341 resulting
In total annual savings of $ 173,884 as shown below.
Adobe Mountain
We also recommend that the Agency continue to pursue the more long term goal of automating
the entire file maintenance process. The only aspect of file maintenance that Is currently automated Is the
AIMS tracking system. This is nothing more than a location tracking device and serves a very limited
purpose for the Agency. Most of the treatment and historical data contained within each youth's file can
be entered and stored electronically rather than In the current manually generated paper format. We
understand that automating the Agency's youth file system Is one of the goals of the recently confirmed
Director and we concur in this approach.
Eliminating the duplication of files and transferring the responsibility for record maintenance to the
Case Managers and Case Workers will result In the following benefits:
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OYTR - 66
Eliminate the Centra! Office Records Room ( open flies only).
Install secure file cabinets In the Case Managers and Case Workers office In each Cottage
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$ 14,481 + 28% ERE ($ 4,054) = $ 18,535
$ 13,548 + 28% ERE ($ 3,793) = $ 17,341
$ 14,000 + 28% ERE ($ 3,920) = $ 17,920
$ 13,548 + 28% ERE ($ 3,793) = $ 17,341
( vacant)
$ 16,294 + 28% ERE ($ 4,562) =$ 20,856
$ 16,020 + 28% ERE ($ 4,485) = $ 20,505
$ 13,548 + 28% ERE ($ 3,793) =$ 17,341
$ 13,548 + 28% ERE ($ 3,793) = $ 17,341
$ 13,548 + 28% ERE ($ 3,793) =$ 17,341
Two Correctional Records Clerks:
Two Information Processing Specialists I:
Two Information Processing Specialists II:
One Correctional Records Clerk:
Two Clerk Typists II:
Ensure that all Case Managers and Workers are trained In the use of Personal Computers
where PCs have been Installed for their use
Revise file maintenance procedures to eliminate the typing and tHing responsibUltles of the
current Records Room staff
Install PCs In those cottages where they are not currently avaUabie for use by Case
Managers and Case Workers ( to the extent possible within the current budget)
•
•
•
•
•
Centra! Office
Catalina
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PEPARTMENTAL BUDGET RESPONSIBIUTY
Current SltuttiOn
The annual Department of Youth Treatment & RehabUltation budget that Is created each year by
the Agency's Budget Officer and staff for use by the Central Office and the institutions Is allocated among
the ten following categories:
• Personnel services & ERE ( Employee Related Expenses)
• Professional & Outside Services
• Travel- In- State
• Travel- Out- of- State
• Other Operating Expenses
• Equipment
• Food
• WIPP ( Work Incentive Pay Program)
• Purchase of Care
• Governor's Task Force.
The funds In these broad categories are then divided among the various entities within the Agency.
The entities among which the Agency's funds were divided for the current fiscal year are:
• Director's Office
• Operations
Administration
DYTR - 67
Adobe Mountain
Alamo
Ironwood
Black Canyon
Catalina Mountain
Youth Services Bureau
• Support Division
Administration
Health Services
Training
Agency Support
• Education.
It Is then the responsibility of each of the entities listed above to allocate and manage their annually
budgeted funds to administer the activities of their Bureau or Institution. No further guidance or monthly
breakdown of the budget is provided.
No monthly breakdown of expenses Is provided by the Budget OffIcer or the Accounting and
Finance Bureau. Although the Budget OffIcer does issue a Budget Analysis Report. no monthly data is
available on this report. It reports only year- tCHiate expense figures and a percentage reflecting the percent
of the total annual allocation that has been spent year- tCHiate.
The Business Manager at Catalina Mountain allocates the Other Operating Expenses portion of the
Catalina Mountain budget to the eighteen various functional areas of responsibUity within the institution
based on past spending history and anticipated needs for the future year. He then provides the department
Supervisors and Managers of the Institution with an annual budget figure. They are then expected to
manage the budget for their respective areas. This process Is not followed at Black Canyon and Adobe
Mountain. The Business Manager at Black Canyon ( who Is also responsible for Adobe Mountain) controls
the entire Other Operating Expenses portion of the budget from the Business OffIce. As Purchase
Requisitions or Invoices are received in the Business OffIce. she decides If there are funds available for the
expenditure. This decision is not made based on the funds avaUabie for a particular department but rather
whether there are funds available in the Other Operating Expenses category for the Institution as a whole.
DYTR - 68
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ImQlet
The budget categories that are currently used to allocate and report Agency costs are far too broad
to manage the Agency and the departments within the Agency. Without a further breakdown of several of
the categories ( Other Operating Expenses and Equipment for example), It Is Impossible for the Bureaus to
property plan their activities and expenditures for the year.
The lack of a monthly report that shows the monthly expenditures compared with planned monthly
expenditures makes It Impossible to monitor progress against the annual budget on a monthly basis.
Although the current report does show t" 9 percentage of the annual budget that has been expended, It Is
not readUy apparent ( without performing additional calculations) how much was actually spent during the
current month, whether this compares favorably with previous months or whether spending Is on track for
the year. This makes It very difficult for the Bureau managers to manage the costs of their Bureau.
The budget allocation process followed by the Business Manager at Catalina Mountain is an
excellent example of placing the responsibUIty for an activity in the hands of the lowest level of management
that is appropriate for its efficient execution. When the various department supervisors and managers are
aware of the amount of their annual budget from the beginning of the year, they are better able to plan the
activities and expenditures of their department throughout the course of the year. Without this information,
It is impossible to plan and manage the expenses of a department. Additionally, It Is unrealistic to expect
someone that is not intimately involved in a department on a day- tCHiay basis to be aware of the specific
needs and priorities of that department.
Recommend. tion
We recommend that the broad budget categories that are currently being used by the Agency to
allocate the annual budgeted funds be subdivided into smaller, more manageable categories such as those
represented by the Index and Sub- Index codes of the STARS system. In some cases, these will represent
too great a breakdown. However, in many cases, these should provide the appropriate level of detail
required to manage the specific Bureaus and institutions.
Additionally, we recommend that a more useful monthly reporting tool be developed that provides
the Bureau and institution managers with the visibility of:
DYTR - 69
• Monthly expenses compared with the monthly plan
• Year- to- date expenses compared with the year- to- date plan.
We also recommend that the system being followed at catalina Mountain that enables each
department supervisor and manager to administer their own departmental budget be Implemented at the
Central Office and at the other Agency's Institutions.
Benefit
Implementing the recommendations listed above will provide the foIiowing benefits:
• Provide the individual Bureaus and Institutions with the appropriate tools to manage the
funds allocated to their areas
• Enhance the ability of the Bureaus and institutions to properly plan their activities and
expenditures for the year
• Enable the Bureaus and institutions to monitor their progress against the annual budget
on a monthly basis
• Places the responsibility for managing the funds allocated to a specific Bureau or
department in the hands of those who are actually managing the activities of the Bureau
or department.
Implementation
• Develop appropriate budget sUb- categories that can be used to manage on an individual
bureau and department basis
• Create a reporting tool that provides greater visibility of spending patterns on a monthly
basis
• Assign budget accountability responsibility to Individual department management.
DYTR - 70
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PERFORMANCE REPORTING
Current Situation
During the course of our review of the Department of Youth Treatment & RehabUltatlon, we noted
that virtually none of the departments had any type of performance monitoring or reporting system in place.
This was first made evident during the Interviews that were conducted when almost none of the staff
members or their supervisors and managers had any Idea of the volume of work that was being processed
In their areas. The only exceptions were the Accounting and Finance department and the Procurement
department In the Central Office. These two areas have recently Installed a system to begin collecting
statistics regarding the daUy volume of work being processed In their departments. Although this collection
of statistics Is not, in Itself. a Performance Reporting system, It can serve as the basis for developing such
a system for these departments. However. no other departments. either at the Central Office or at the
Institutions, have any simUar system in place.
Impact
Failure to administer a Performance Monitoring and Reporting System renders It impossible for
management to:
• Gather data on the volume of work being processed
• Compare the relative performance of:
employees
simUar time periods
offices at the Institutions
• Determine If staffing levels are appropriate for the volume of work being processed
• Identify areas of their departments that could be improved
• Determine If performance Is Improving or deteriorating
DYTR - 71
• Identify areas where employee training may be required
• Effectively and objectively evaluate the performance of their staff.
Recommend, tlon
We recommend that an Agency- wide Performance Monitoring and Reporting System be developed
and Installed In ali Bureaus and departments at the Central Office and all of the Institutions. Key
components of the system should Include:
• Gathering of daily statistical data on the volume of work being completed In each area
• Development of standards that will provide guidance to management regarding the volume
of work that can be expected to be performed each day
• A simple method to compare the established standards with the actual daily results
• Active use of the dally data to manage the work of each area.
Benefit
Installing a Performance Monitoring and Reporting System will provide the following benefits to the
Agency:
• Enable management to compare the relative performance of their employees
• Enable management to identify work volume trends and compare performance for similar
time periods
• Provide management with the ability to compare the relative performance of simUar offices
at the various institutions
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• Enable management to determine If staffing levels are appropriate for the volume of work
being processed
• Enable management to identify areas of their departments that need improvement
• Enable management to determine If performance Is Improving or deteriorating In their areas
• Enable management to effectively and objectively evaluate the performance of their staff.
Implementation
• Develop a tool for collecting dally statistical data for each work area
• Develop standards for daUy performance In each work area
• Train staff members to use the tools
• Train department and Bureau managers to use the system to evaluate individual and group
performance.
DYTR - 73
DEVELOP MIS STRATEGIC PlAN
The various Bureaus and correctional Institutions of the Department of Youth Treatment and
RehabUltatlon are currently using several different automated systems to conduct the day- lo- day operations
of the Agency. These systems Include:
• AIMS: This Department of Corrections system Is used solely to track the movements of
the juvenUes that are Incarcerated In the Agency's Institutions. It does not have the ability
to maintain any Information regarding:
The cost to maintain a youth within the Agency's system
The treatment programs that are being administered for the Incarcerated juveniles
Any historical data regarding the treatment ajuvenDe has received or the progress
that has been made whUe the juvenile was Incarcerated
Services received from outside agencies or placement centers
• STARS: The Standard Accounting and Reporting System ( STARS) Is used by the
Department of Youth Treatment and RehabUltatlon to record all accounting transactions
executed by the Agency. The STARS system Interfaces with the AFIS system which Is a
separate and distinct accounting system used by the Department of Administration. The
STARS system was Installed because AFIS did not provide the abUIty to track the detailed
cost Information desired by the Agency. AFIS II, which Is supposed to be able to provide
more detailed Information, Is scheduled to be released later this year. It Is anticipated that
STARS will be able to be replaced by AFIS II. This replacement wUl eliminate the need to
perform the monthly reconcUlatlon of the data contained within STARS and AFIS.
• AFIS: This Is the Department of Administration accounting system with which all state
agencies Interface. The Department of Youth Treatment and RehabBltation Accounting
group does not actually enter any data into this system. However, they receive printouts
from AFIS that are used to reconcle the data entered Into STARS ( by the Agency) and
data entered In ( or downloaded to) AFIS by the Department of Administration. This system
Is scheduled to be replaced with a new version ( AFIS II) sometime tater this year.
DYTR - 74
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~: This Is an automated system owned and operated by Maricopa County. Although
the Department of Youth Treatment and RehabRltation has the abUity to access the data
contained within this system, they do not have the abUity to enter any data or manipulate
the data In JOLTS. The JOLTS system was designed specifically for juvenUe corrections
( as opposed to adult corrections) and provides much more ussfUI Information to the
Agency than does the AIMS system.
PURCHASE QF CARE SYSTEM: This Is a stand- alone system developed by the Purchase
of Care group to enable the Agency to track and monitor the cost of maintaining a juvenile
In outside placement centers as well as provide historical data regarding the service
providers and the services provided to the juvenHes. It was designed to contain many of
the same data elements as JOLTS so that downloading of Information from JOLTS to this
system would be possible. Although the design and development of this system Is
complete, It Is not actually up and running yet. Historical service provider and juvenile
information is currently being loaded Into this system so that It can be used In the near
future.
LAN system: Several Local Area Networks have been Installed throughout the Agency.
There are five separate LANs at the following locations:
Adobe Mountain
Black Canyon
Catalina Mountain
Central Office
Purchase of Care ( physically located at the Central Office but separate from the
main Central Office LAN)
These LANs provide the users with the ability to access and use the following software:
Word Perfect
Quatro Pro
Paradox
Novel Btrleve ( purchase of Care system only)
DYTR - 75
The users of the five LANs do not currently have the abllty to access and share data among the
networks because they are not connected to each other.
There are Personal Computers connected to the LAN In all of the Central OffIce bureaus that have
a need to access the system. All of the Business OffIces at the Institutions also have Personal Computers
that provide them with access to their LAN. Some of the cottages at the Institutions also are equipped with
personal computers.
Although no fonnaIlzed MIS department exists within the Agency, there are three staff members
that provide MIS services to the Agency's user popWltIon. One Individual provides technical and user
support for the LANs In the Central OffIce as well as at the Institutions. One other Individual provides user
software support and training. Another Central OffIce staff member provides user support for the S1ARS
system, maintains the S1ARS programs and initiates the daUy batch processing that is necessary with the
S1ARS system.
The Interviews that were conducted within the Agency revealed that there Is no centralized MIS
planning or coordination between the Central OffIce and the Institutions. There Is also very little coordination
between the various Bureaus at the Central OffIce. Most Importantly, no strategic plan for MIS services has
been developed for this Agency. Each department and institution has been relatively free to formulate and
execute their own MIS plans and strategies. The only apparent constraints on the various bureaus have
been budgetary In nature.
The lack of a coordinated Agency- wide strategic plan for MIS services has resulted in, and will
continue to contribute to, several negative impacts on the Department Among these are:
• Each Bureau and Institution wUl continue to attempt to formulate their own plans without
proper guidance and expertise
• The various plans that wUl be formulated wBl not take Into account what other Bureaus and
Institutions are planning In regard to MIS matters which wUllead to duplication and overlap
of systems
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• No centralized planning and allocation of resources ( both staff and budget) for MIS needs
can be made without a strategic plan
• Scarce budget resources will be fragmented and possibly wasted as the Individual Bureaus
and institutions pursue their own plans
• Without the framework of a strategic plan, It Is Impossible to:
Establish realistic Agency- wide MiS priorities and balance the needs of the various
Bureaus and Institutions
Establish a realistic and reasonable MIS budget
Appropriately assign MIS staff.
Recommendation
We recommend that an MIS Strategic Plan be developed by the Director, Deputy Director, Assistant
Director Support Services and other key Agency personnel to be selected by the Director. Other key
personnel should be selected to represent the needs of the following areas:
• The Institutions
Case Management
Health Services
Business Office
Maintenance
Warehouse
• Purchase of Care
• Accounting and Finance
• Education
• Volunteer Services
• Training Services.
DYTR - n
Unt. the Strategic Plan has been formulated and finalized, no further MIS systems should be
planned, developf! ld or Installed. This Includes the Purchase of Care system that has been recently
developed. A decision will need to be made whether the Purchase of Care system will fit Into the needs of
the Agency before proceeding further with It. If It Is decided to proceed with the Purchase of Care system,
plans wli need to be made about how It will Interface with other Agency syste